United States
Environmental Protection
Agency
Office of
Administration and
Resources Management
September 1994
SERA Reinventing EPA
Steps Toward A
Stronger Workforce
STRONGER
WORKFORCE
LEADERSHIP
Empowerment
Diversity
Labor/Mgmt
Partnership
Restructuring
Vision
Mission
Values
STRONGER
WORKFORCE
Empowerment
Diversity
Labof/Mgmt.
Partnership
Restructuring
GUIDING
PRINCIPLES
Ecosystem Protection
Environmental Justice
Pollution Prevention
Strong Science, Data
Partnerships
Errv. Accountability
Reinventing Mgmt
Environment&l
Indicators
Customer Service
Standards
Vision
Mission
Values
BETTER
PROCESSES
PtanrdnpyBudgeting/
Accountability
Contracts/Grants
Personnel Mgmt.
Permits
Reg. Development
Enforcement
Customer Service
Employee Fulfillment
Environmental Results
Guidance for Implementation Plans
(Includes 11/21/94 Revision to Appendix A)
Recycled/Recyclable
Printed with Soy/Canola Ink on paper that
contains at least 50% recycled fiber
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
SEP '] 0
THE ADMINISTRATOR
One of the most challenging aspects of our reinvention efforts is to change the way
our organization works--our various infrastructure roles, responsibilities, and behaviors.
We have had many successes using the traditional media-specific, "stovepipe"
organizational structure, and our traditional way of thinking and operating. However, in
today's climate, with a new generation of environmental problems, it is clear that an eco-
system, sector-based, cross-media approach, with a greater focus on customers and
employee empowerment, is more effective.
On August 8th, I announced my decision to accelerate the process of organizational
and management change at EPA. After discussions with many of you, I was convinced
that collectively we were ready to begin the process of transforming EPA into a more
effective, flexible, and responsive Agency. One aspect of this is strengthening our
workforce, which involves developing a shared vision and values, increasing our focus on
the customer, valuing and increasing diversity and empowering our workforce, working
collaboratively, and creating an organizational infrastructure that meets the intent of the
National Performance Review.
The attached guidance provides information in each of these areas; it is a
framework for developing your organization's Reinvention Implementation Plan due to me
by March 31, 1995. This guidance is not prescriptive, but is designed to expand your
thinking and suggest a process for reinvention efforts. Appendix A describes the areas
that are to be addressed in your Reinvention Implementation Plans.
This is a new field, and everyone, across government and in the private sector, is
struggling and learning together. I know many of you have begun your reinvention efforts.
I applaud your initiative and hope this guidance provides additional food for thought. I
would like you to have an open, participatory process for developing and implementing
your plans. Please keep in mind that our unions are to be full partners in the reinvention
process.
I look forward to working with you as this process unfolds. I am confident that we
have embarked on a journey to create an Agency that is more responsive to today's
complex environmental issues and that fosters a workplace environment where employees
can contribute their full talents toward achieving environmental results.
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"Our new strategic plan points to a new generation of
environmental protection. We are moving from sole use of
media-specific regulation to an approach that employs
flexibilityf innovation and common sense, along with
traditional approaches, in meeting our environmental goals.
This new approach requires us to change the way we operate
and assure that the skills and talents of every employee
contribute to fulfilling our environmental mission."
EPA Administrator Carol Browner
Memorandum to All Employees
August 8, 1994
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REINVENTING EPA
Table of Contents
Table of Contents
Introduction
I. A Reinvented EPA 1
II. Shared Vision and Values 5
III. Customer Focus 11
IV. Diversity 19
V. Working Collaboratively 25
Empowerment, Delegation, and Shared Responsibility 25
Teams 29
Management Behaviors 36
VI. Organizational Layers and Design 41
Organizational Layers 41
Redesigning Organizational Structures 47
VII. Implementing Change 61
Appendix A:
Appendix B:
Appendix C:
Appendix D:
Reinvention Implementation Plans
Helpful Resources
OMB Definitions of Supervisor, Administrative,
and "Headquarters" Personnel for
Redeployment
Memorandum Describing Agreement Between
EPA and Headquarters Unions relating to
Labor Participation in Reinvention Activities
U.S. Environmental Protection Agency
5 Library (Pt.i2J)
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REINVENTING EPA Introduction
Introduction
Organizations across the country are changing the way they do business. The
trend is noticeable both in academic journals and in real-life testimonials from
organizations of all sizes and backgrounds, from the public, private, and not-for-profit
sectors. Organizations everywhere are "reinventing" themselves. This is a broad term
which encompasses a wide range of activities. In this document we attempt to
discuss the major workforce and organizational change areas included under the term
reinvention, as they apply to EPA. This goes beyond rhetoric-we are part of a major
change, and EPA is moving in an exciting new direction toward increased productivity,
collaboration, and understanding. The goal of this document is to provide you with
the information you need to help move the change process along.
These changes will not be easy. They will require changes in management
style, level of employee participation in work decisions and organizational operations,
decreasing layers of review, and increasing the span of control for managers, to name
a few. However, proper preparation will minimize the anxiety and disruptions these
changes produce, and the result will be a richer, more productive organization with
an improved work environment and improved responsiveness to customers and other
stakeholders.
Labor organizations play a critical and necessary role in reinventing EPA. As the
exclusive representatives of bargaining unit employees, the unions must be partners
with management in all of our reinvention and reform initiatives. That means involving
them from the outset in the design, structure, and implementation of the change
process. It also requires an open sharing of information with the unions. Most
importantly, the unions' involvement must be seen as an integral ingredient for the
success of any of these efforts. This document assumes that you will have involved
the appropriate labor organization(s) from the beginning of whatever process you are
using. If you have questions or would like more information, your Labor Relations
Advisor is available to help you.
Who Should Read this Document
This document is intended to aid readers in transitioning to a reinvented EPA.
It is specifically directed toward:
Individuals writing Reinvention Implementation Plans for their respective
organizations;
Managers at all levels implementing reinvention activities; and
in
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REINVENTING EPA Introduction
Employees interested and involved in assisting their organization with its
reinvention efforts.
Scope of Document and EPA Change Efforts
This document is divided into seven major sections and 4 Appendices. Five of
the sections focus on major change areas and are divided into two major parts,
beginning with a discussion of the theory and reason for the change discussed: "What
it is and Why it is Important," and concluding with practical tips on how to implement
that change: "Where to Begin" and "Things to Consider." The five change sections
are:
II. Shared Vision and Values
III. Customer Focus
IV. Diversity
V. Working Collaboratively
VI. Organizational Layers and Design
The document concludes with section VII., Implementing Change, a framework for
identifying and implementing the changes.
EPA's move to a reinvented organization cannot happen in a vacuum.
Reinvention is not a linear or singular process. It encompasses progressive processes
in which each initiative builds on, is integrated with and interdependent of the other
initiatives, where the sum is larger than the parts. Several EPA organizations have
begun "parts" of their reinvention activities; some have undertaken reengineering
processes, while others have largely focused on reorganization planning. As you read
this document, determine where you are in the "larger" picture and what your
organization needs to do to realize greater benefits of looking at and undertaking
reinvention as a whole system. It is important to remember that just reorganizing the
structure of an organization only provides a new shell, it is the reinvention of internal
relationships and operations of an organization that get at the heart of enduring
change.
This document covers a major area of reinvention-building a stronger
workforce. It discusses the major themes of strengthening the workforce, and also
deals with several tools for reaching this goal, such as a shared commitment to
purpose, organizational and interpersonal values, employee participation, work done
in teams, restructuring an organization, and, the importance of re-engineering core
work processes. Other aspects of EPA strategic reinvention are not discussed,
guiding principles for environmental protection such as ecosystem protection,
environmental justice, pollution prevention, etc, and measures such as environmental
indicators and customer service standards. This document strives to help EPA begin
iv
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REINVENTING EPA Introduction
the transition to a reinvented agency through the largely cultural changes necessary
to sustain this change.
Appendix A provides information on what Offices should include in their
reinvention implementation plans, based on the information and processes described
in this document. For help or further information on some of the subjects discussed
in the document, Appendix B lists reference materials ranging from books and articles
to training courses, diagnostic tools, and change consultants. Appendix C provides
the Office of Management and Budget (OMB) definitions of supervisor, headquarters
employee, and employees that fall into the "administrative" category. Appendix D
contains a memorandum that discusses union representation in Headquarters
reinvention committee activities.
This document was prepared by the Management and Organization Division's
(M&O) Reinvention Guidance Team under the auspices of the Administrator's
Management Committee (MC). If you have questions concerning the document,
please contact your representative on the MC or M&O. For additional copies of this
document, please contact EPA distribution at (202) 260-5797.
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REINVENTING EPA I. A Reinvented EPA
I. A Reinvented EPA
EPA, like public and private organizations across the country, is undergoing a
significant change. This evolution is toward more responsive organizations with better
decision-making, greater customer satisfaction, and improved employee commitment
and satisfaction. The Clinton Administration initiated several activities to create a
more responsive government, most notably the National Performance Review (NPR),
to improve government practices and increase efficiency, to streamline and create a
"government that works better and costs less."
Driving Forces
"Top down bureaucracies no longer work very well in either the public or private
sectors. As cutting-edge businesses have done, we must streamline our
operations, cut management controls, and empower our workers."
National Performance Review
EPA faces many challenges from the NPR and the various Executive Orders to
flatten, or "delayer," the organization, increase the number of staff per supervisor, and
streamline our processes through employee involvement. Administrator Browner fully
endorses the NPR recommendations and other reinvention activities. She stated in a
recent memorandum to all employees, "Our goal for reinvention is to create an
organization that is more responsive to today's complex environmental issues and that
is committed to management for environmental results." The Administrator is placing
particular emphasis on improving diversity (utilizing the full capabilities of the entire
workforce) and empowerment (greater employee involvement and self-commitment)
to achieve these goals.
To reinforce her commitment to reinvention and move the Agency toward these
goals as quickly as possible, Administrator Browner announced on August 8, 1994,
an acceleration of the organizational and workforce reinvention to September 30,
1996-a goal two years earlier than the Executive Order mandate. She decided to
accelerate delayering as part of a broader reinvention process that supports new
directions in the Agency environmental programs. This will stimulate a more
aggressive pursuit toward a reinvented EPA; a new way of doing business that is built
on the principles of empowerment, customer satisfaction, and organizational flexibility.
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REINVENTING EPA I. A Reinvented EPA
The 1:11 ratio and reinvention implementation plans are devices to help the Agency
move to operating differently in a timely manner, but should not be viewed as the
ultimate goal. Offices must take a comprehensive look at themselves to determine
where they are, where they need to go, and what is the best way to facilitate
effective change in their organizations. The emphasis is on moving from the
traditional rigid, hierarchical organization where work is compartmentalized and
control-based, to a flexible, innovative, and more responsive organization where
responsibility is shared and the focus is on interrelationships, employee involvement,
and stakeholder needs.
Characteristics of a Reinvented EPA
EPA is moving in a new direction programmatically, which depends upon and
supports an associated cultural change. As an agency we are changing the way we
do business to focus more on ecosystem and "common sense", stakeholder-based
approaches. By focusing on this goal, the individual parts of EPA will move in a
common direction to a successfully reinvented Agency. The efforts currently
underway are necessary to this shift. Only through refocusing EPA to better deal with
stakeholders, work more collaboratively both inside and outside the Agency, and
maximize workforce productivity through valuing diversity and empowering
employees, can these environmental protection initiatives be fully successful.
EPA, like many large hierarchical organizations, is characterized by a traditional
top-down, multi-layered, stovepipe structure and control-based management style.
The organization is segmented into divisions and program groupings, separating staff
who work on related problems and creating artificial organizational boundaries and
barriers. Critical decision-making power resides at the top, along with traditional
management control. Each employee has a place and a specific function, but is also
distanced from understanding the interrelationships of the Agency's programs as a
whole and how their individual work relates to the mission of the organization. EPA
has experimented with matrix management, cross-media teams, and other
"boundaryless" ways of operating. In a reinvented EPA, we will continue to explore,
invest in, and expand such models to more effectively further the Agency's mission.
A reinvented EPA is about breaking down these traditional hierarchical barriers
and boxes to work as a flexible and integrated system. It's about:
Creatirig, with all stakeholders, a shared picture of the desired
future and an understanding of the Agency's work which builds
a collective sense of what is important and why; and
Collaborating-crossing internal and external boundaries to
integrate service delivery and policy development;
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REINVENTING EPA
I. A Reinvented EPA
Utilizing fully each member of the workforce, and soliciting
ideas from varied perspectives;
Creating partnerships within and between agencies, empowering
employees with the authority, skills, training, and information
required to do the job, and redefining the manager's role to one of
coach and facilitator; and
Eliminating unnecessary layers and refocusing Agency efforts to
manage across, not up and down the organization.
To achieve this, EPA must create a shared vision and values, focus on the Agency's
customers, embrace and utilize the diversity of the staff, foster employee involvement
and collaborative work, and eliminate unnecessary layers of oversight.
TRAD ITIONAL
ORGANIZATIONS
RE INVENTED
EPA
Customer
Focus
D i versIty
New
Competences
Sk I Ms
Behnv I ors
Check
Plan
Learn
Shared Vision
and Vet I ues
VALUES BASED
ACT IONS
DIMENSIONS
Work i ng
Co I IaboratIveI
Appropr r ate
Overs Ight
Structures
o Creating a Shared Vision and Values
A foundation for change at EPA begins with a clear vision and values
that all employees share and understand, and has flexibility to respond
to a changing, complex environment. Visions paint a picture of the
desired future, tapping into an organization's deeper sense of purpose.
Articulating the organization's specific values and goals makes the
purpose real, motivates employees, and engenders commitment.
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REINVENTING EPA I. A Reinvented EPA
o Strengthening Customer Focus
Focusing on improving customer service and achieving greater customer
satisfaction is essential to accomplishing the Agency vision for a clean
environment. This means identifying our primary customers and their
needs, involving all our stakeholders to the greatest extent possible, and
providing them the best service possible.
o Valuing Diversity
Creating a culture that embraces the talents and ingenuity of EPA's
entire workforce to maximize the productivity and potential of our
organization is critical to a reinvented Agency. This means cultivating
and capitalizing on the spectrum of talents, viewpoints, and experiences
stemming from each person's unique background, and viewing these
differences as strengths rather than weaknesses.
o Working Collaboratively
A reinvented EPA requires employees to think and act differently. EPA
employees must work together to create a new work environment built
on trust, open information exchange, shared responsibility, and
corresponding accountability. Employees must work together-up, down,
and across the organization.
o Organizational Layers and Design
Reducing unnecessary structural and control layers and utilizing flexible
work teams can improve commitment and responsible actions, decision-
making, customer service, information flow and quality, and lead to
greater job satisfaction. Reorganization is a valuable tool for bringing
about change, which may be used to great advantage to produce a
reinvented EPA.
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REINVENTING EPA II. Shared Vision and Values
II. Shared Vision and Values
In a reinvented EPA, the employees in each organization (AAship, region, office,
division) work together to create a shared vision and values that the entire group is
committed to and understands. Through a shared overall vision and values for EPA
as a whole, the separate parts of the agency will move in a common direction with
their own individual reinvention efforts to result in a coordinated transition to a new
way of operating. One way in which EPA and other government agencies differ from
the private sector is a more frequent turn-over of leadership. Vision and values shared
by the Agency can help provide continuity and ease the transition during periods of
change. Vision and values give the organization shape and direction, and create a
shared sense of purpose/ or mission, for all involved.
WHAT IT is AND WHY IT is iMPORTANT-Vision and Values
"A shared vision - supplemented with clearly understood goals and shared values
among everyone in the organization, from top to bottom - can be the basis of
intelligent decisions."
Vice President Al Gore
Vision
A vision is an ideal image of the future; it is a statement of where you want
your organization to be. Visions are always evolving to adapt to the changing
environment as new opportunities and initiatives emerge to better fulfill the Agency
or individual program missions. A vision:
Clearly shows how the organization fits into the Agency
mandate of environmental protection;
Serves as a beginning point for creating a new organization;
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REINVENTING EPA II. Shared Vision and Values
Challenges the organization to change by painting a picture
of what the organization strives to becomean image of the
future the organization seeks to create;
Is best created through a group effort and flows from
extensive contact with customers and colleagues; it
emerges from reflection on the organization's purpose by
many or all of the organization's employees;
Is easy to understand and characterized by flexibility and
creativity (clarity and brevity are helpful);
Creates an environment that fosters greater commitment,
focus, ownership, a sense of purpose for the organization
as a whole, and evokes enthusiasm and action; and
Evolves continuouslythe vision grows and changes over
time.
A vision should not be:
Created at the top and given to the organization; this
translates into "work hard so the leader's program will
succeed," and does not create commitment or inspiration;
or
Something the leaders say, but not what they do. which
creates mistrust, loss of commitment, and loss of focus.
A shared vision guides the organization to changes that are appropriate and
necessary. It results in a "future pull," managing from the future back instead of the
present forward. It is not easy to create a vision; it means gathering many people
together with diverse viewpoints and sorting through large quantities of information.
Shared visions often emerge from information overload; from a sudden collective
realization of how all the pieces fit together to form a larger vision for the future.
Values
Values are broad principles that influence nearly every aspect of our lives: our
ethical judgment, the way we respond to others, and our commitment to personal and
organizational goals. While visions refer to the future and to what the organization
should be, values comprise the things that are most important to us as we work
within the organization.
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REINVENTING EPA II. Shared Vision and Values
Organizational values form the basis for the organization's culture and should
be shared by all employees. Personal values are often an important reason people
choose to work for EPA--employees are committed to public service and protection
of the environment. This makes strong complementary values even more important
to recruiting and retaining quality employees and sustaining a high level of morale and
productivity. As Administrator Browner has stated, "as an Agency we must share
common values." When employees' individual values and the organizational values
are complementary, a clearly stated, frequently repeated set of core values emerges
that guides decisions. Complementary value sets provide clarity to employees about
organizational values and expectations, and make it easier to cope with the often
conflicting demands of work and personal affairs.
When employee and organizational values are complementary they create:
Self-esteem;
Increased levels of organizational loyalty;
Understanding about key organizational goals;
Ethical behavior;
A strong work ethic;
Reduced job stress; and
Enhanced commitment to the Agency mandate to protect the
environment.
Unmatched values between employees and the organization drain energy from
personal effectiveness and organizational productivity. The following graphic
illustrates some traditional organizational values, and their potential counterpart in a
reinvented EPA.
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REINVENTING EPA
II. Shared Vision and Values
Changing Organizational Values
AUTHORITY DRIVEN
Encourage Conformity
Reward Behavior
Focus on Fixed Process/RuIes[
Goal-Crlented
Control led
Management chain Saxisfact ion
COMPARTMENTAL I ZED
Vertical Communlcat Ion
Rigid Structure
Independent
Competitive
Discourage Innovation
ORGANIZATION AS PRIORITY
Impersonal
Duteous at any Expense
Hierarchical Power Structure
Individual Gain
Directing
BooooeeeoooE
COMPETENCE DRIVEN
Values Diversity
Rewards Abl IIties
Focus on Outcome
Customer Oriented
Empowered
Employee & Customer Satisfaction
COLLABORATIVE
Free and Open Communication
Flexible Working Relatlonshlps
I nterdependent
Cooperot i ve
Encourage Risk and Innovation
BALANCE BETWEEN
ORGANIZATION AND INDIVIDUAL
Congenial/Helpful
^. Qua I 1ty Outcomes from Co I Iaborat1 on
Respect for individuals
Individual Health and Dignity
NurturIna/DeveI op 1na
WHERE TO BEGiisi-Creating Shared Vision and Values
To develop a shared vision, and values, it is crucial that the organization take
a step back and determine the work it needs to do in the future. The organization
should examine its Current mission, functions, etc.; analyze its stakeholder needs and
wants (both internal and external); and determine where the organization needs and
wants to go.
8
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REINVENTING EPA
II. Shared Vision and Values
THINGS TO CONSIDER
Determine where you are now, including questions such as: does the
organization have a clear vision and set of values, how does the
organization treat its people, are employees involved in decision-
making, etc.
Determine what your organization is required to do: analyze laws,
regulations, Executive Orders, and other mandates.
Find out what your organization's employees, customers, and other
stakeholders need and want you to do; talk to, listen to, and/or
survey these groups.
Examine what senior leadership wants your organization to do;
analyze all written goals, strategic plans and reinvention objectives to
determine the vision for, and needs from, the organization.
Assess external trends, current events, etc., which impact the work
of the organization.
Solicit feedback using an interactive and inclusive process to obtain
input about what employees want/think the organization should do
and how it should interact. Ask questions such as:
How is the organization tied to the Agency's mission?
What purpose would the organization serve?
What reputation would the organization have?
What contribution would the organization make?
What values would the organization embody?
How should we interact and communicate?
What are the core issues and potential opportunities for
improvement that the organization should address?
How can diversity be utilized?
What would it take to create employee satisfaction?
How to create a positive, productive work environment?
What would an empowered organization look like?
How would an empowered organization operate?
Using an inclusive process, put all this information together to
develop a brief, clear expression of the organization's shared vision
and values.
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REINVENTING EPA
III. Customer Focus
III. Customer Focus
Becoming more responsive and customer-focused is a primary driver in the
Administration's reinvention strategy. One recommendation of the National
Performance Review is to move away from oversight and control, and increase the
number of employees who deal directly with the customer. President Clinton's
Executive Order on Setting Customer Service Standards says "The standard of quality
for services provided to the public shall be: Customer service equal to the best in
business."
EPA provides a variety of services, such as research and development, rule-
making, inspections and enforcement, technical assistance, financial assistance, and
information management. We must involve stakeholders in examining how we do
business to ensure that everything we do supports the ability of frontline workers,
inside and outside EPA, to deliver improved environmental results to all our
stakeholders, including customers, clients, and employees.
WHAT IT is AND WHY IT is iMPORTANT-Customers
"We are committed to achieving customer service equal to the best in industry.
We carry out our mission through increased public participation, increased public
access to information and increased public access to decision-makers."
EPA's Customer Service Policy, Putting Customers First
EPA's ultimate customer is the public. To best serve the public, we work with
a continually changing set of interim customers which ranges from offices within EPA
to outside constituents such as: Congress; federal, state, tribal, local, and
international governments; the regulated community; and environmental groups.
Providing all these customers with the best possible service is how EPA can tackle the
difficult task of responding to the needs of the public as a whole.
11
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REINVENTING EPA III. Customer Focus
Continuous listening to, learning about, and knowing your customers are
cornerstones to determining how to adapt in a changing environment. Knowing your
customers means spending time with them. This means employees at aJi levels of the
organization must listen and learn from their customers and all other stakeholders; it
means anticipating problems and opportunities and working on solutions and
strategies together.
Incorporating a customer-focused ethic into EPA will be a continual challenge.
Customers who receive EPA services can be co-workers (internal customers) as well
as end users (external customers). Customers have a stake in the work of the
Agency, and thus fall into the larger group of stakeholders. Stakeholders include any
individual or organization with an interest in the work of the Agency, including
Congress, the public, industry, environmental groups, employees, other government
agencies, states, etc. Divisions of stakeholders aren't always clear; one group or
individual may be a customer for one part of the Agency and an employee for another.
Thus, it is important for the needs of all stakeholders to be considered. Program
offices provide services externally to the states, regulated community, Congress,
other Federal agencies and environmental organizations, as well as internally to other
offices in the Agency. The Agency as a whole is the internal customer of support
offices such as the Office of Administration and Resources Management (OARM) and
the Office of General Counsel (OGC). Internal customers are just as important as
external customers; improved service within the Agency enriches the work
environment, encourages organizational integration, and helps the Agency accomplish
its environmental mission. These services, both internal and external, are diverse and
sometimes have competing customer needs. These competing needs raise questions
such as:
» How do we provide our regulated industries the support, flexibility
and compliance assistance they need, while fulfilling our statutory
mandates?
> How do we meet the individual needs of the States while
maintaining national consistency and our oversight role?
+ How do we meet the media-specific needs of Congress in the face
of multi-media client needs?
* How do we provide efficient, timely, and flexible support services
to our employees while maintaining Agency consistency and
appropriate oversight of taxpayer monies?
The Agency's challenge is to balance these types of needs, taking into account EPA's
shared vision and values, and the Agency's and individual organizations' missions.
12
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REINVENTING EPA III. Customer Focus
As a regulatory agency we often need to promote actions, activities, and
attitudes to businesses, government, and individuals that they would not opt to take
on their own, even when they understand it to be in the best interest of the general
public. Our goal is to build a cooperative and supportive relationship with these
customers, supplying them with the information and tools they need to be able to
pursue their business and personal activities in an environmentally "friendly" way.
To achieve compliance it is sometimes necessary to work with businesses,
government, and individuals in an enforcement mode. We often have the challenge
of balancing competing interests in carrying out our regulatory and enforcement
responsibilities. In all our relationships, voluntary and nonvoluntary, cooperative or
enforcement-related, our goal is to handle all interactions in a fair, courteous, and
professional manner. Our goal is also to provide affected parties with a clear
understanding of the reasons for our actions.
We are committed to:
Reaching out to our customers to provide them with the
information they need to make environmentally sound
decisions and to involve them in our decision-making and
priority-setting processes.
Setting clear performance standards for our products and
services, assessing how well we are meeting those
standards, whether they are the right ones, and adjusting
our activities based on what we learn from those
assessments.
To move the Agency closer toward this goal, the Administrator announced the
"Common Sense Initiative." The goal of this initiative is to achieve greater
environmental protection at less cost by looking at whole industries and involving a
wide range of customers in developing a new generation of environmental solutions.
This approach will strengthen our ability to understand and support key intermediary
customers in their delivery of environmental protection. This contrasts with the
current pollutant-by-pollutant, medium-by-medium approach.
Customer/Employee Satisfaction
The customer is generally concerned about two factors:
Process-what they experience; and
Outcome-what they get and how it compares with what
they want.
13
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REINVENTING EPA
III. Customer Focus
Customers "see into" an organization through the words and actions of its
employees. Research indicates that customer service satisfaction is directly related
to employee job satisfaction; the treatment customers receive reflects the treatment
the employees receive from their organization. Employees and customers tend to rate
service quality the highest when there is:
Enthusiastic emphasis on the importance of service to an
organization's success;
Active support to satisfy aU customers, not just "high profile"
customers; and
Good service provided the first time.
I dent i fy
Stalceho Iders
WHERETO BEGiN-Creating A Customer-Driven Organization
An organization can become more customer-focused by having a clear
understanding of whom the stakeholders are and what their needs and expectations
are. It is critical to get input on stakeholder needs directly from the source, and to
obtain feedback after services are delivered. This process should be continually
repeated, with frequent checks on whom the stakeholders are and what their needs
are.
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REINVENTING EPA III. Customer Focus
THINGS TO CONSIDER
Move from media-specific service delivery to ecosystem and
"Common Sense" stakeholder-based approach.
Establish a profile to identify your stakeholders; who they are
(internal and external), where they are located, and how best to
communicate with them.
Continually reassess the needs of all your stakeholders, with their
input and involvement, and adjust your services accordingly;
stakeholder needs change for various reasons, and services need to
be flexible to adapt.
Determine what your stakeholders want and expect from you;
spend time listening to, understanding, and responding to their
evolving needs and shifting expectations; be flexible to meet those
demands; ask questions such as:
What do you want?
What do you really need?
What do you expect in the future?
How do you view our service?
What problems do you encounter?
How would you like our services improved?
How do your needs conflict with the needs of other
stakeholders?
Look at your own assumptions; examine whether they are barriers
to what the stakeholder really wants; verify your assumptions with
the stakeholder.
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REINVENTING EPA HI. Customer Focus
THINGS TO CONSIDER
» Develop with employees and customers a clear, concise and
understandable customer service strategy; it should communicate,
in specific action items, the things you need to do to satisfy your
customers; it should help employees, customers, and other
stakeholders understand who does what, what they should do,
how to do it, and why to do it.
** Provide employees the information and skills they need to respond to
stakeholder needs.
EP Change internal processes that inhibit employees from helping their
customers; tap into employee knowledge on the types of services
that leave a lasting, positive impression on customersemployees
know first-hand the weak spots and failures in service delivery.
«s- Eliminate or clarify overlap of functional boundaries in your work
products to provide more efficient and identifiable services.
« Examine ways to redeploy employees in supervisory,
administrative, and "Headquarters" positions to positions which
more directly serve teh customer, in conjunction with the NPR
recommendations and OMB guidance.
*? Improve public access to information. Go beyond the traditional
"public involvement" programs to more broad and diverse
engagement processes, such as surveys, town meetings, focus
groups, informal and formal meetings.
** Train employees on benchmarking, and customer-related process
reengineering to support improved service delivery.
& Make it easy for stakeholders to interact and work with you; make it
easy for them to "talk" to you (hotlines, electronic mail, Internet,
suggestion boxes, etc.); make information, services and complaint
systems easily accessible.
«s* Treat stakeholders like partners to the extent feasible; consult
stakeholders with conflicting needs to obtain consensus
recommendations. Get stakeholders involved in federal advisory
committees, operational or fact-finding task forces or teams to work
on developing approaches to finding solutions and strategies.
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REINVENTING EPA III. Customer Focus
THINGS TO CONSIDER
Demonstrate a desire to resolve situations the best way possible
and within a timeframe which benefits both the Agency and the
stakeholder.
Incorporate customer service into performance agreements, awards,
recognition, and promotion.
Recognize the connection between employee and stakeholder
satisfaction;
Make space, equipment, training, and other employee needs
a priority that gets done, not just talked about;
Foster an environment that provides employees with the
opportunity to learn, develop new skills, and be challenged;
and
Empower employees and give them the authority to meet
stakeholder needs.
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REINVENTING EPA IV. Diversity
IV. Diversity
In order for EPA to respond effectively to the needs of its stakeholders, it must
utilize the talents and ingenuity of all of its workforce. As federal agencies face
increasing workloads with fewer staff, it becomes important to ensure that all
employees contribute their full talents to the workplace. Both President Clinton and
Administrator Browner recognize diversity as an important issue, and have named
diversity as one of the priorities of this Administration. In her April 4, 1994
memorandum to employees, Administrator Browner stated: "I remain unwaveringly
committed to increasing the diversity profile of all our staff and particularly our
managers. I believe we can achieve our diversity goals even in an environment that
stresses a leaner management structure." The Agency's 1992 Cultural Diversity Task
Force Report shows that EPA is on its way to fostering a diverse workforce, but much
work still lies ahead, especially in reflecting diversity throughout the organization at
all levels and in all program activities.
WHAT IT is AND WHY IT is iMPORTANT-Vision and Values
"By valuing diversity, we can gain greater potential and creativity from the
synergy of the workplace, recapturing commitment and unleashing pent-up talent.
In short, we can turn the tide of employee dissatisfaction and put the work ethic
back to work,"
Managing Workforce 2000
Diversity is much more than affirmative action, or people of different ethnic
backgrounds. There are many types of diversity, some are visible, others are more
subtle. Managing diversity in EPA means creating an environment that empowers and
permits individuals to recognize their full potential in pursuit of Agency objectives.
Employee diversity encompasses not just race, gender, and ethnicity, but also a
variety of other areas such as age, functional and educational backgrounds,
organizational tenure, size acceptance, sexual orientation, other lifestyles, or
geographic origins.
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REINVENTING EPA
IV. Diversity
As EPA's Cultural Diversity Task Force stated, diversity is " .... going beyond
the appeal of legal and social tenets of Affirmative Action. It focuses on using all
people resources to get our job done." While affirmative action is seen as a way to
redress discriminatory practices, cultural diversity attempts to ensure maximum
utilization of all employees. Affirmative action and cultural diversity work together to
form a strategy for workforce planning and utilization that can have significant
positive influences on an organization's overall performance.
Diversity is an asset to the organization if it is valued through recognizing,
understanding, and appreciating differences. It is an integral component of an
organization's success and viability, and should not only be tolerated, but encouraged,
supported, and nurtured. It impacts the organization significantly on both
interpersonal and organizational levels. On the interpersonal level, co-workers who
are sensitized to each other's differences are able to work in a positive and congenial
environment; on the organizational level, teams that appreciate and utilize the unique
talents and perspectives of a diverse workforce can benefit through improved
services, solutions, and products. The more teams represent the diversity of our
customer base, (ethnic, geographic, skills, education, gender, etc.), the more likely our
services can reflect our customer needs. In order for valuing diversity to be
successful, all employees must understand their own strengths, weaknesses, and
biases, and how their own perspectives affect the way they interact with individuals
who are different from them; this means respecting each others' differences as well
as similarities.
Successfully implementing the Agency's diversity goals means real change.
Accomplishing the goal may create some level of anxiety for many individuals. EPA's
workforce already consists of over half women and minorities and we must maximize
their talents at all levels of the organization. While EPA is tasked with increasing
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REINVENTING EPA IV. Diversity
diversity Agency-wide, with a specific emphasis on leadership positions, the challenge
has much broader implications than just simply addressing representational
imbalances. EPA's diversity philosophy is based on the belief that it can create a
workplace where all of its employees can realize their full potential. To build,
maintain, and take advantage of the richness of diversity at EPA will take time,
resources, and persistence. To do this, all employees must have the opportunity for
training; for fair treatment in assignments, performance appraisal, and promotion
opportunities; and for recognition for their contributions. They must be free from
harassment because of their gender or group status.
WHERE TO BEGiN-Utilizing and Improving Diversity
THINGS TO CONSIDER
Create a current diversity profile of your organization and talk about what
it means. A diversity profile might include demographics on experience,
skill mix, age, education, gender, race, geographic origin, etc.
Develop a shared vision (all employees in the organization) for achieving
greater diversity in your organization, such as a target diversity profile
that includes characteristics listed above. EPA's workforce diversity goal
should be to reach a workforce reflective of the diversity of the Nation's
population. Implementing diversity is an inherently participatory exercise,
so involve everyone from the beginning.
Create shared values and goals to help achieve your vision; begin with
two or three goals that are possible and are tied to the values of the
organization and are important to everyone. Communicate commitment
to, and status of, your diversity goals and opportunities to the entire
organization frequently.
Each AA/RA is responsible for negotiating specific workforce diversity
goals with the Administrator, taking into account the current makeup of
the staff in the organization. Consistent with organizational streamlining,
these goals would be expressed in terms of diversity in the "positions of
influence" that provide leadership to the organization.
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REINVENTING EPA IV. Diversity
THINGS TO CONSIDER
The quarterly profile prepared by the AA, Office of Administration and
Resources Management (OARM), and Director, Office of Civil Rights
(OCR), can be a helpful measure and check point for reaching your goals.
OARM and OCR provide the Administrator with an annual report on
progress in workforce diversity and alert her to problem areas deserving
attention.
Expand part-time positions. Permitting and encouraging part-time
positions is particularly attractive to employees with family
responsibilities who currently find they must make a choice between their
families and careers. Part-time opportunities also provide opportunities
for physically-challenged individuals who are unable to work full-time.
Make sure there are recruiting methods and diverse applicant pools from
which to select employees and build skills for your organization.
Look for ways to restructure and redefine support-staff positions,
perhaps by implementing the Office of Human Resource
Management's Administrative Support Career Management System
to allow additional development opportunities for support staff.
Promote diversity awareness by educating everyone on what diversity
means; explore feelings, beliefs, and barriers to workplace issues. Set
aside appropriate resources; involve the organization in diversity training;
provide a variety of training options to address skills mix and gaps
identified by all employees. You may meet some resistance to
implementing diversity, and education is the means to turn resistance into
support.
Incorporate diversity in all aspects of the organization's activities; show
commitment and involvement at all levels of the organization, and stay
involved with implementing diversity.
Create opportunities for advancement into non-managerial high-
grade career paths, and ensure diversity is considered.
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THINGS TO CONSIDER
Refocus expectations away from future supervisory positions, and
emphasize future leadership opportunities throughout the organization
(teams, cross-program initiatives, expert systems leaders, project
leaders). The benefits of involving employees in teams and other
opportunities includes:
Increased employee empowerment to manage a
project;
Reduced management time; and
Development of a well-trained and culturally diverse
feeder pool of staff who have practical experience in
managing teams and other initiatives and projects.
Evaluate the progress of diversity implementation in your organization.
Measure how the office is doing by starting with a benchmark survey and
diversity demographics, and follow up periodically through opinion
surveys and open forums with groups and the entire organization; keep
the diversity profile current as a baseline check for reaching your goals
and establishing new ones.
Develop accountability measures to review, evaluate and monitor
organizational performance to meet diversity goals. Examples of
actions taken by successful organizations addressing diversity
include:
Establishing clear criteria for promotions and
expanding developmental opportunities to
increase under-represented groups in the
workforce at all levels;
Developing criteria for managing and addressing
diversity in performance evaluations. Criteria
should include expectations for positive
performance in this area; and
Creating special incentives and creative forms of
recognition to make diversity successful.
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REINVENTING EPA ' V. Working Collaboratively
V. Working Collaboratively
One of the most challenging aspects of moving to a reinvented EPA is to
change the way the organization works-our roles, responsibilities, and behaviors. A
reinvented EPA must be driven by employees working Collaboratively to fulfill our
vision and meet stakeholder needs in accomplishing environmental goals.
Once your vision and values are established through a collaborative,
participatory process, and a diligent effort is applied toward continuous
communication, a culture can develop over time where employees trust each other to
work to reach that vision. Through hard work and persistence, EPA will develop a
culture where all employees are respected as being intelligent, committed, and
energized, and having integrity and courage of conviction. Trust and responsibility will
be extended to all levels of the organization. Managers will increase their role as
coaches, enabling employees to expand their skills and thus increase the capacity of
the workforce. With trust and expanded skills come increased independence and
responsibility, often referred to as empowerment.
WHAT rr is AND WHY rr is iMPORTANT-Empowerment,
Delegation, and Shared Responsibility
"EPA seeks to promote and achieve empowered employees who have the
decision-making authority, accountability, knowledge, and ability to achieve
quality results*"
Agency-wide Strategic Plan
Empowerment leads to greater employee involvement and self-commitment.
It is a way of tapping into the underutilized potential in our workforce by sharing the
power, trusting, supporting, and assigning tasks to match employee skills.
Empowerment within an organization allows employees to be more responsive to
stakeholders; intrinsically links responsibility, authority, and accountability together;
and delegates these to appropriate levels for planning, performing, and completing
work. Empowerment of EPA employees means giving them the skills and tools
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REINVENTING EPA V. Working Collaboratively
needed to do the job well, the responsibility for the accomplishment of specific work,
the authority they need to get the work done, and specific measures of accountability
that they are expected to meet. This gives employees greater autonomy and control
over their projects. When employees solve the problem and implement the solution,
the responsibility stays with them. The group or individual owns the problem, the
idea for solving it, and the challenge of making the idea succeed. While trusting may
be difficult at first, the degree of trust increases with experience and proper employee
training.
Delegating, formally or informally, is a way to empower employees and give
them more responsibility. Informally, work may be organized differently to give staff
greater autonomy, more control over a project, or greater opportunities to perform
additional functions. Formally, delegations of authority-official responsibilities given
to the Administrator by Congress or Agency rules, and passed to the Assistant
Administrators and Regional Administrators-can be evaluated for opportunities to
redelegate to lower levels of the organization. Empowering employees can only
happen in an environment where employees:
Are kept informed;
Have the experience, training, and knowledge necessary to
perform the work;
Communicate with others in the organization and their customers;
and
Receive acknowledgement, credit, and feedback for their efforts
and contributions.
In an empowered organization, responsibility lies with managers for setting
direction for the organization and its employees, and for coaching, removing needless
barriers, making decisions that cannot be delegated lower, and evaluating staff
performance. In addition, managers are responsible for providing employees with the
necessary resources to do good work. As employees are empowered with more
responsibility, managers are freer to think strategically about short and long-term
issues which may impact the organization, and to use their experience to coach
employees to help accomplish their tasks. Employees must take ownership and
accept the responsibility to do good work and must be accountable for task
accomplishment and reaching goals within a predetermined framework. They must
be supported in their work, not micromanaged or monitored for activities or quotas.
To share accountability, employees must be able to understand and tie responsibilities
to the big picture; sharing information at all levels of the organization helps to do this.
Shared power also results in higher job satisfaction and performance throughout the
organization.
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REINVENTING EPA V. Working Collaboratively
Forging a Labor/Management Partnership
The nature of EPA's relationship with its unions has dramatically changed in the
past year. The unions are a critical link in working toward a more collaborative culture
at EPA. The Agency has implemented a new partnership philosophy, involving the
unions in areas not previously conceived as being within the scope of the labor-
management relationship. The most notable example is the depth of union
involvement in planning and executing the reorganization of the Office of Enforcement
and Compliance Assurance, which consolidated the Agency's Headquarter's
environmental enforcement efforts and required reassignment of several hundred staff.
The unions assisted in the development and gathering of staff evaluations on
supervisory effectiveness. These evaluations were one aspect of the information used
in making managerial assignments in the new enforcement program.
The Agency and its workers are forming partnership councils at the national and
local levels. The unions have formed a Coalition of EPA Unions to develop and
present to management issues of especially high concern to EPA workers, and two
unions sit on the Agency's Senior Leadership Council's Management Advisory
Committee. The unions and management are developing processes for implementing
Executive Order 12871 on labor/management partnerships. One of the
implementation processes already in place is the Headquarters agreement on including
unions in reinvention activities; a copy is provided in Appendix D. For more
information, contact your Labor Relations Advisor.
WHERE TO BEGIN - Creating an Empowered Organization
The basis for creating an empowered organization is a culture of trust. Only
when there is a genuine belief that all employees agree on the vision and will work to
fulfill the mission as effectively as they know how, will empowerment truly be a part
of EPA's culture. Only through taking small steps toward empowerment today,
however, will that culture of trust be able to develop for tomorrow.
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THINGS TO CONSIDER
Engender self-responsibility and initiative through less authoritative
direction and formal process controls such as rigid standard procedures,
unnecessary reporting, cumbersome policies, and "bean" counting.
Change management responsibility from directing and controlling to
coaching and facilitating.
Foster an environment where employee participation is encouraged,
employees are working collaboratively, reward mechanisms hold meaning
for employees and are related to quality performance achieved in the
context of shared goals and values.
Maximize employee involvement in decision-making; share power
and information.
Reduce internal layers of review for decisions and documents; create
accountability, self-responsibility, and trust at the level where the work is
done.
Delegate authority, informally and formally, to the lowest possible levels to
eliminate unnecessary lines of approval; examine formal delegations of
authority for opportunities to redelegate to lower levels and for easing or
eliminating limitations on those exercising the authority.
Demonstrate support for employees as responsibilities are redelegated.
Provide the tools necessary to acquire the skills, training, and knowledge
to make sound judgments.
Invite union representatives early in any process impacting employees.
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WHAT IT is AND WHY IT is iMPORTANT-Teams
"Organizing by teams . ,, creates a sense of belonging, security and cohesion.
Peer influence can improve performance. Lateral communication is improved.
The quality of, and support for, decisions increases when more people are
involved."
Michael Rigg, "Vision and Value: Key to Initiating Organizational Change,"
Industrial Engineering
A work team is defined as a small number of people with complementary skills
who are committed to a common purpose, set of performance goals, and approach
for which they hold themselves mutually accountable. The Agency Streamlining plan
lists as one of its goals to make much greater use of cross-program and cross-media
teams, such as placed-based and "common sense" approaches to environmental
protection. This emphasis on work teams is not unique to EPA--the team approach
has become popular in other government organizations and the private sector as an
important way to operate collaboratively. Employees must know how to solve
problems, make decisions or recommendations as appropriate, and evaluate
performance as work progresses; and managers must know how to interact with
teams and to coach and guide when needed. Thus a substantial commitment to
training is necessary for teams to be successful.
Benefits of teams
Working in teams creates employee ownership in the
product and helps to increase morale, productivity,
flexibility, quality, commitment, and customer satisfaction.
Teams can help develop workers who are empowered,
accountable, cross-trained, flexible, and able to deal with
entire processes. As teams develop and work closely
together, members learn to value the different perspectives
a diverse work group provides.
Communication is improved because people are working
directly with one another, and the quality and support for
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a decision or product increases when more people are
involved.
Risks of teams
Teams, particularly self-directed work teams, should have
a clear mission, vision, goals, and sufficient training. If this
does not occur, there is a risk of inefficiencies including
more time and effort spent on interpersonal issues, "group-
think", conflict resolution, social loafing, and diffusion of
responsibilities. In addition, teams without clear focus or
sufficient training have a tendency toward inappropriate
risk-taking, escalated commitment to incorrect or irrational
courses of action, and premature consensus.
It is important for team members to allow group dynamics,
such as conflict, to surface and be dealt with candidly in
the natural course of team activities. Circumventing
conflict or inappropriate behaviors will lead to inefficiencies,
splintering of the group, and a product that is not
representative of the team's combined skills.
Role of Managers
Work teams depend on managers to obtain resources and other support, act as
a buffer, communicate with the team and the rest of the organization, solve problems
which cannot be addressed at the team level, and ensure that the efforts of individual
teams fit together to move the Agency forward. In the early stages of team-building,
managers have an even more direct role in clarifying the purpose, rationale, and
performance challenge for the team, and where needed, facilitating, coordinating, and
coaching the team. However, it is important that the team have the flexibility to
develop commitment around the purpose, set specific goals, timing, and approach.
Using teams reduces the need to supervise many individuals, and instead enables
management to supervise multiple teams. The individuals in self-directed teams
largely supervise themselves in the sense that they set team product schedules and
measures of success.
Type of Work Teams Can Do
In the private sector, work teams are used primarily in routine, repetitive types
of operations. Everyone learns how to operate each piece of equipment or part of the
process so that team members may substitute for one another. At EPA, we have a
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very technical business and a highly educated workforce, and this type of
"substitution" is more complex. While each employee may not be able to become an
expert in all areas, they can develop a shared appreciation of what goes into each part
of the process, thus enhancing both their experience and the product.
Virtually any work that requires more than one person, in terms of either the
mix of skills or level of effort, can be done by a team. The only difference is that the
team is organizing the work and reporting to management as a team rather than as
individuals. Some work, however, requires such close coordination and consistency
of vision that it can only be done by a single individual or a very experienced team.
Other work may not benefit sufficiently from diverse skills and perspectives to justify
the overhead of group activity.
The type of tasks that teams take on should be discrete enough so that the
team is able to function, but not so independent that the team becomes disconnected
from the Agency goals. The task should be varied enough so that the group can use
the diverse skills the members bring, yet interdependent enough so that the team
interacts. It may be necessary to broaden or narrow the scope of the team to find a
workable degree of independence. While this may seem like a tightrope, in reality
many of the tasks EPA performs fit easily into these categories.
Teams and Organizational Structure
Currently, EPA relies heavily on teams to do our work, and working in teams
is almost inevitable as we move toward a new reinvented EPA. There are three basic
ways to look at teams organizationally-temporary, permanent, and matrix.
Temporary teams function for a few days, weeks, months,
or longer and then are disbanded. This category includes
ad hoc teams, which are short-term, project-specific teams.
Examples of temporary teams include the red border teams
or legislative teams that tend to do work on specific issues
but are not part of an organization's formal structure.
Temporary teams can effectively bring the right resources
to bear on a matter and provide excellent opportunities for
employee development.
The organization's formal structure may contain permanent,
team-style elements as replacements for Sections or Units.
Using a team approach distributes among the team
members most of the daily work responsibilities of the
former chief. Next-level managers are able to assume the
remaining oversight functions because teams largely
manage themselves, and managers can oversee a few
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teams rather than many individuals. Caution should be
exercised, however, to make sure permanent teams are not
just renamed structural units but are operating in the true
spirit of a collaborative team. Otherwise, the former first-
line supervisors, renamed "team leaders," retain all of their
responsibilities without benefit of their formal supervisory
authority.
Team concepts can be applied to an organization's formal
structure by reorganizing cross-functionally around clients
or products. This formalizes the collaboration of previously
segmented parts of the organization. Alternately, the
cross-functional approach can be implemented through
matrix management, where collaboration is achieved by
teams of people from multiple organizations operating
across the formal structure. Cross-organizational team
membership can be an occasional, part-time involvement
for employees. In a highly matrixed organization, however,
it can be the norm, with the formal organization serving
primarily as a home base, and most, work being
accomplished by teams superimposed on the organization
chart. Matrix teams can be either permanent operating
units, or convened for temporary, situational efforts.
Team Development
Newly formed teams go through various stages of development as members get
to know each other, resolve internal problems, and establish goals and procedures
prior to deciding how to accomplish their mission. There are many theories on team
development, but in general there are four stages that teams go through, and the
team may return to an earlier stage at any time throughout the process. These stages
are:
Orientation - > The team establishes rules, procedures, and
a plan of action. Decisions are made such as who is on the
team, what the team will do, and what it needs to do.
Internal problem solving -> Problems are discussed that
may block accomplishment. Problems often develop
because of something that was not covered in the
orientation stage.
Growth and productivity -> All problems are resolved at
this stage and team members are focused on completing
the task. Members experience increased closeness, share
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V. Working Collaboratively
ideas and approaches, give feedback, and explore better
ways to accomplish the task.
Evaluation -> The team has completed the task at this
stage and evaluates the lessons learned and provides
suggestions for improvement for future team projects.
Literature suggests that successful organizations increase team autonomy from
low to high on a gradual basis. Employees and managers learn to work more
collaboratively in problem-solving teams and develop skills that can be used in their
daily activities. Problem-solving teams provide opportunities for developing team skills
such as interpersonal communications and team problem-solving. As these skills are
developed, the team may move from a problem-solving team closer to a self-managing
team.
TEAM DEVELOPMENT
Low Autonomy <
Problem-solving Teams
Semi-autonomous Teams
> High Autonomy
-> Self-directed Teams
Teams are given a
specific problem to
address within given
constraints. Often these
teams reach subject or
technical limitations.
Teams plan, problem-
solve, and have input
to goals and decisions.
Require changes in:
philosophy, structure,
systems, policies, and
skills.
Teams run the daily
business of the unit,
including determining
workload and staffing.
Require less supervision.
Expands on
requirements of semi-
autonomous teams.
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WHERE TO BEGIN ~ Working in Teams
THINGS TO CONSIDER
» Determine whether the type of work that needs to be accomplished
is appropriate for a team. The task can't be overwhelming, but has
to be difficult enough to engage a team and keep the work
challenging and interesting.
s- Determine the type of teams your organization is ready to establish.
What is the current level of skills, information, and empowerment?
To what extent do employees already work in teams within and
across the organization?
** Determine what training programs are necessary. Employees may not
be able to jump right into doing work in teams without training in
working with a team, communicating, setting goals and benchmarks,
and planning their daily activities.
«* Determine who the team members will be. There are several ways
to go about this, from having a manager appoint the members to
more cooperative methods. The trick is to identify the right skills mix
needed for the team and find people who have the interest and
availability to share fully in the effort. It may be useful to identify a
few key members to scope out the project and identify the additional
skills and/or people needed to fill out the team.
« Involve stakeholders in reinvention teams. This may mean drawing
people in from other parts of the Agency, or consulting with people
from outside the Agency.
s* Establish reward systems to recognize teamwork that encourages
collaboration and discourages competition among team members.
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THINGS TO CONSIDER
Establish a clear mission, vision, and specific goals for the team.
These must be flexible enough for the team to take ownership of
the project; they are best done with the managers and team
together in early team development and may progress to being
done entirely by team members in the later stage, self-directed
teams.
Create "cross-boundary partnerships" to increase communications
among your own divisions and with other organizations (either inside
or outside the Agency). In a segmented organization, positive
changes in one area may never reach another, whereas in an
"integrated organization," positive changes can be shared or "passed
along" more easily. EPA's structure and policies make this difficult
to do and these "cross-boundary partnerships" will require much
work. The Common Sense Initiative is an example of the Agency's
efforts to achieve "cross-boundary partnerships" internally and
externally.
Make an upfront investment in communication planning. One
example is the use of electronic forms of information exchange which
allow ideas to be accessed by any interested party. Electronic
bulletin boards on different subjects can be established so that people
working on similar topics in different parts of the Agency can share
ideas. Training is necessary to institute a culture of improved
communications, electronically or otherwise.
Involve union representatives in teams related to reinvention
activities. An EPA agreement requires union involvement in
reinvention teams established at Headquarters (Appendix D). Contact
your Labor Relations Advisor for more information.
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WHAT rr is AND WHY IT is iMPORTANT-Management
Behaviors
"It is easier to use authority to tighten up, shrink, and make an organization more
cautious than it is to use power to open up, expand and make an organization
more courageous."
Peter Block, The Empowered Manager
Critical to successfully empowering and delegating authority are changes in the
way an organization manages its employees. Management essentially uses the
capabilities of employees to get work accomplished. Management decisions should
be molded through consultation with employees; employees provide information that
frames decisions. A sign of a successful manager is a workforce which is operating
at peak productivity. Managers who focus on removing barriers to productivity and
creativity are using power to its best advantage. This can be accomplished not only
through position, policies, and practices, but must also include an attitude-a state of
mind-that all employees are working toward the same vision, and can be trusted to
act in the best interests of the organization.
There are many different management styles, ranging from dictatorial to
participatory (with many variations on both styles), and many different roles managers
play. Managers' roles include functioning as consultants, advocates, educators,
information resources, trouble shooters, and decision-makers. Different situations call
for different styles and roles, and each choice comes with certain tradeoffs. Tradeoffs
involve productivity, the speed with which decisions are made, the extent to which
the group contributes, the commitment to a decision, and the potential for staff
development. The style of managing also impacts employees' decisions on whether
to stay/remain in the organization. In a regulatory agency such as EPA, the work of
the agency tends to involve technical and scientific decisions and interpretations.
These frequently are best made by the technicians and scientists who work with the
issues daily. Managers must be available to ensure employees have the information,
resources, and training they need to make decisions. To manage effectively, it is
necessary to prioritize tasks with a view toward long-term needs. In a reinvented
EPA, two tasks stand out as top priorities: 1) working collaboratively with all
employees and other stakeholders to develop and articulate a vision, (discussed in
section II); and 2) creating an environment in which staff can figure out what needs
to be done and can do it well.
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Managers also need to help reconcile employees' personal aspirations with the
realities of the workplace. Studies of private sector companies indicate that eighty
percent of the workforce believe they are among the organization's top performers.
As the corresponding expectations for promotion within the organization cannot
possibly be met, managers must learn how to counsel people to clarify values, to
specify goals, and in certain instances, to deal with disappointment.
Studies of successful managers have identified several common traits:
A caring, respectful, and responsible attitude;
Flexibility about people and organizational lines;
A participative approach to management;
A willingness to share power;
A clear sense of values; and
A sincere interest in the well-being and development of those
around them.
In order to manage with a large span of control, you must have a staff you can
trust to perform well on their own. It is easier to push control to, or empower, top
performing employees, but to give all employees greater authority is more difficult.
If you have a clear vision and trust staff to work toward that, and give employees the
tools, training, and authority they need to perform, in the long term the culture of the
organization will evolve into one of increasingly high performance.
WHERE TO BEGiN-Changing Management Behaviors
Changing management behavior will not happen overnight, and cannot happen
in a vacuum. As individual managers work to transform their management styles, the
organization as a whole will be affected and move more toward a reinvented EPA.
Similarly, as other reinvention activities are implemented, these will influence the
behavior of the managers that they impact.
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THINGS TO CONSIDER
Look objectively at your working and management styles; identify
areas which could be improved, skills which may benefit from training
courses, and areas in which you excel. (Feedback sessions with
employees is one tool you may decide to use as a means of helping
you identify your management style and needed changes.)
Questions for 1st and 2nd line managers to ask include:
> Do I foster an environment where people are allowed to
express their creativity and try out new ideas?
* Do I allow for mistakes and risk-taking?
* Am I cooperative, or do I compete with staff and other managers?
> Are employees given the opportunity to develop their skills?
* By delegating and/or working collaboratively, can I better
handle the work and produce products with better results?
» Do I act as a coach and guide rather than as a directed control
authority?
» Do I perform substantive work or make decisions that could be
handled by someone in a more junior position?
Questions for AAs to ask include:
»> How does each segment of the organization and its managers
respond to the seven questions above?
* How can I help the managers in my organization accept and
embody change?
* How much am I depending on Division Directors and Office
Directors to perform technical functions rather than managing
programs?
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THINGS TO CONSIDER
Questions for AAs to ask include (cont.):
> Do I model empowered, collaborative management?
* Do I allow time for managers to develop and practice
innovative management strategies with their staff?
Utilize the abilities and capacities of the workforce; develop
employees to their fullest potential to improve staff performance;
train, build competence, and enhance motivation through:
-» Guiding;
>-+ Delegating;
^ Coaching; and
-» Facilitating.
Increase the role of the manager as counselor to increase employee
confidence, self-esteem, and job fulfillment.
Identify barriers to change.
Recognize EPA's cultural expectation that managers be well versed in all
the details of their programs. Strive to redirect that expectation as much
as possible while continuing to accommodate it as necessary. Be sure to
provide managers with the management information needed to assure
that policies and production are within desired limits.
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VI. Organizational Layers and Organizational Design
A reinvented EPA has fewer layers between the person doing the work and the
decision-maker, and senior managers have wider spans of control. This is what is
often referred to as a "flat" organization where:
Getting actions completed requires minimal levels of review;
Employees have direct access to the decision-maker on their
project;
Managers have more staff to manage, so by necessity they
concentrate more on management and less on technical issues;
Teams may be used to solve complex issues by utilizing the
diverse perspectives of individual members to achieve a quality
solution; and
Interconnectedness, opportunities for interaction, and strong
working relationships exist throughout.
The importance of formal organizational structure declines in a reinvented EPA.
Behavioral patterns are more important than structure in determining effectiveness,
and most work is accomplished through myriad informal, interconnecting relationships
that cut across formal organizational lines. Thus, while the structure of an
organization is still important, flexible, "boundaryless" groups will be most effective
in meeting future challenges.
JP
WHAT IT is AND WHY IT ts
Layers
iMPORTANT-Organizational
Good intentions and brilliant proposals wilt be dead-ended, delayed, sabotaged,
massaged to death, or reversed beyond recognition or usefulness by the
overlay ered structures,
Tom Peters, Thriving on Chaos
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Flexible, flatter structures enable an organization to better adapt to change and
respond to new opportunities more effectively than ones which are compartmentalized
and rigid. Flatter ways of organizing encourage information flow among offices and
programs, thereby providing each area with the information needed to respond to a
changing environment.
The 1:11 ratio is EPA's numerical goal in response to the Executive Order
mandating Federal agencies to double the number of staff for each supervisor.
Focusing on eliminating management positions to obtain the 1:11 goal does not
guarantee that layers of bureaucracy will be reduced. Reducing the number of Offices
in an Assistant Administratorship, for example, would improve the supervisor to staff
ratio, but not reduce the number of hierarchical layers. Two aspects important to the
formal structure of an organization are:
Height is a function of the number of levels, or layers, in the
organization.
Breadth is a function of the number of organizations at each level of the
organization (e.g., the number of Offices under an Assistant
Administrator, number of Divisions under an Office, etc.), or the "span
of control."
The diagram below illustrates both a "tall" and a "flat" organization with the
same 1:11 supervisory ratio. The example on top shows how bureaucratic layers can
be eliminated to reach the 1:11 ratio. Although it too meets the mandatory 1:11
ratio, the example on the bottom shows a very hierarchical and potentially
bureaucratic organization that places a burden on first-line supervisors and does not
reflect Agency goals to reduce layers and create a more flexible, less bureaucratic
structure.
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COMPARISON OF FLAT AND TALL STRUCTURES
Each Model Has 764 Employees
Each Model Has a 1:11 Supervisory Ratio
FLAT STRUCTURE
First Line Supervisors = 53
First Line Span of Control =1:13
T
T
TALL STRUCTURE
First Line Supervisors = 32
First Line Span of Control = 1 22
The most important factor necessary to make any reinvention tool work is
behavioral change. In organizations with wider spans of control, it is impossible for
managers to remain technical experts. Instead, managers must spend their time
managing up, down, and across the organization. This requires a cultural change for
EPA, as we have traditionally promoted staff into managerial ranks based on technical
competency, and have expected managers to know the details of everything.
Staff will have to adjust as well. No longer will a manager be as available to
assist in the technical aspects of the job. Instead, junior staff will have to look to
more experienced employees for assistance and guidance. This will require increased
training and more detailed orientation programs. A more entrepreneurial culture must
evolve, where staff members generate ideas for new projects or new methods of
operating, and have the ability to test out those ideas. Accountability will be
distributed as well-with individual employees "owning" their projects and being
responsible for their successful conclusion. This does not mean that employees won't
be permitted to make mistakes; on the contrary, for an "entrepreneurial spirit" to
flourish, a climate which encourages risk is essential. If a project fails, employees will
be encouraged to analyze why it failed, and if warranted, improve the process, fix the
mistake, and try again. Managers must encourage staff to try out new ideas to
achieve their vision and goals, and see that they are given the training and tools
necessary to carry them out.
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Reducing Layers is not Appropriate for Everyone
While fewer hierarchical layers may help you to achieve organizational goals,
reducing layers is not a goal in and of itself--it is a tool, and like all tools, is not
appropriate in every situation. For instance, the nature of the task makes a difference;
more complex, technical, and volatile jobs may need the support and teaching that a
narrower span of control and greater supervisory involvement can provide. Likewise,
more routine or process-oriented jobs might work well with even larger spans of
control.
Skill also plays a factor in determining the appropriate number of layers for an
organization. Experienced employees with strong skills are likely to require less
individual guidance than an organization with a high turnover rate where employees
are often learning skills on the job. The homogeneity of skills has a role as well. A
larger span of control is likely to be more practical in an organization in which all or
most employees perform the same type of work, than in an organization where many
different professions and skills interact.
Re-engineering Core Processes to Create Successful Organizations
Reducing layers also does not guarantee a successful organization. Other
factors are necessary to create the cultural change that is the underpinning of a
reinvented EPA. Underlying management deficiencies such as "micro" managers,
"technician" managers, or lack of a vision, communication, or priorities will not be
solved merely by restructuring. In this era of increasing legislative mandates and not
increasing resources, making structural changes to reduce layers without an
examination of our core processes and efforts to make them more efficient and
effective has the potential to increase each person's workload and result in frustration.
EPA needs to look at how work gets accomplished, and analyze these core
processes for re-engineering opportunities. "We will be examining our work processes
to eliminate unnecessary layers of review and oversight and will assure each employee
plays a vital role in our organization," as Administrator Browner said in a recent all-
employee memo. Re-engineering may not mean merely improving an existing process,
but involves examining each process to determine if it is necessary, why, and what
is the best way to go about it. This is a necessary piece of the entire reinvention
effort, as it goes hand in hand with the cultural and structural changes envisioned in
the reinvented EPA.
Everyone contributes to the Agency's culture and how its core processes are
conducted to achieve mission objectives. However, senior managers have a particular
responsibility in this; what they do has a substantial impact on workplace
management and satisfaction and the environmental results generated. Every aspect
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of senior management performance, every conversation held, and every action taken
demonstrates the values senior managers believe are important to the organization and
its mission. Re-engineering the way we carry out our core processes, both the
administrative support and the environmental work of the Agency, cannot exist
without senior managers' commitment and involved leadership in open, inclusive
endeavors.
Re-engineering core processes is one of the most natural fits for broad-based
employee involvement. It provides an excellent opportunity for creating team
experience and expands the skills and technical knowledge of others through thorough
examination of processes in collaborative forums. The intuitive counterpart of these
efforts is creativity and innovation in designing new and different ways of approaching
the Agency's work.
Rather than beginning a dozen or more simultaneous initiatives to analyze and
change core processes, it may be more effective to focus on three or four. It is
important to keep your vision and values in mind: start with the core processes that
you care about most deeply and where you can realize significant results. Re-
engineering the Agency's core processes should be viewed as a sustained evolution
of change. Increments of change that yield positive results are often more effective
than holding out for "getting it right." Re-engineering is about exploring, analyzing,
learning, testing, making mistakes, and sustaining efforts to achieve your goals and
objectives.
Communicating in a Flat Organization
In a hierarchical organization, information is usually passed from layer to layer,
increasing the risk of distortion before it reaches the decision-maker. In a flat
organization, the person doing the work meets face-to-face with the final or close-to-
final decision-maker, allowing a clearer, faster, more efficient transfer of information.
Reducing management layers can facilitate faster and improved decision-making
by improving the quality of information received. With fewer layers of management,
decision-makers are closer to the employees and customers, enabling them to respond
more effectively and adapt.
In flat organizations, information must flow freely up, down, and across the
organization. Interaction with peers increases as they work across the organization
in functional linkages. This facilitates a more collaborative culture, increases diversity
in affecting outcomes, and enhances the capacity of the workforce to develop
additional skills. In addition, this free-flowing exchange tends to increase innovation.
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WHERE TO BEGiN-Reducing Layers
THINGS TO CONSIDER
To begin thinking about how or where to reduce unnecessary supervisory layers
in your organization, ask the following questions:
» Is top management out of touch with the people performing the work
and the customers?
«* Does your organization adapt slowly to change?
* Do managers involve themselves too much in daily activities?
« Do one or more layers of the review process fail to add value to the end
product?
» Are multiple signatures required to accomplish tasks? If so, is there a
strong legal, regulatory or policy reason for this?
« Is your review process slow to respond to the needs of the organization
and its stakeholders?
a- Do managers act as "pass through" and not as decision-makers?
* Are operations disconnected from the Agency mission or service delivery?
«* Do staff lack authority to provide responsive service to stakeholders?
«s- Do managers and their deputies and assistants duplicate responsibilities?
*y Do Headquarters, Regional, and/or field offices perform the same
functions? Are functions duplicated within or across offices?
*? Do employees or other stakeholders believe service is bottlenecked?
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THINGS TO CONSIDER
« Are political appointees stacked within the hierarchy?
« Do high-level managers and policy-makers micro-manage operations?
If your organization answered "no" to these questions, you probably
already have an appropriate number of management levels, and may want to
look at using other tools to achieve your goals. If, however, your organization
answered "yes" to many of these questions, that signals a potential opportunity
for reducing layers and improving organizational performance.
WHAT IT is AND WHY IT is iMPORTANT-Redesigning
Organizational Structures
"The existing organizational structure of the federal government is rooted earlier
in this century, a time when massive, multilayered bureaucracies were seen as
the most effective and efficient approach to managing large, complex
organizations. . . . We have but to took around us to see that times have
changed."
Report Accompanying the Report of the National Performance Review
Transforming Organizational Structures
Once an organization has determined why change is needed-through defining
its vision and values, establishing organizational and operational baselines, and
determining what is missing-reorganization may be an appropriate tool to use to begin
implementing this change. This section is intended to provide background and the
basic principles of organizational design on: How Reorganizing Can Help.
Organizational Factors to Keep in Mind. Designing Organizational Potions, and
Checklist for Implementing and Evaluating New Structures, and Common Pitfalls.
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How Reorganizing Can Help
An organization's structure provides a framework for achieving its vision and
goals. Optimum design of your organizational structure should enable your
organization to effectively meet your vision in the most effective and responsive way.
Restructuring enables you to realign functions (e.g., combine complementary
functions/activities, eliminate duplicative and/or unnecessary functions/activities,
and/or create new functions/activities, etc.) to:
Facilitate more efficient operational processes;
Improve communication paths;
Become more flexible in a changing environment;
Become more responsive to customer needs;
Achieve the most appropriate number of organizational layers; and
Utilize resources (people and dollars) in the most efficient manner.
However, restructuring is not an end in itself. Without looking at the
organization as a total system for reinventionexamining management practices,
cultural changes, communication, and operational processes for improvements, --
reorganization alone will only provide marginal improvements at best. The
arrangement of the boxes is not as important to excellence as the organization's
capacity for solving problems through collaboration, sound management and a culture
that places high value on people and quality.
Organizational Factors to Keep in Mind
Certain factors will come into play regardless of the type of reorganization you
undertake. These factors include the degree to which functions are centralized or
decentralized, and your ability to redeploy employees to direct customer service and
reach the Agency's 1:11 supervisorstaff goal.
Centralization versus Decentralization
One factor you will have to consider if you decide to reorganize is the degree
of centralization/decentralization for each function. Complete centralization is when
all decisions are made by one person in the organization. The extreme form of
decentralization would be an organization in which each individual shares equally in
decision-making. Most organizations are somewhere in between. When weighing the
degree of centralization, compare the amount of time and money used sending
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information to a central place, against the loss of control and coordination when
decisions are made by employees at lower or geographically separate parts of the
organization. An example of the balance organizations play between centralization
and decentralization is the extent to which EPA's regional offices have authority.
Decentralization gives individual decision-making units in the regions the opportunity
to meet local needs, however, there are costs associated with coordinating the
activities of the regions to ensure national policies are applied consistently. The table
below describes benefits of centralized and decentralized functions:
Centralization
Decentralization
> Minimizes duplication of functions. Assures
uniformity and consistency of decisions and
actions throughout the organization. This has
important legal ramifications.
» Requires the decision-making unit to have the
information necessary to make the decision
(information must come from lower levels).
> Creates economies of scale, or cost savings
from full utilization of a central facility, supply,
or expertise.
> Increases employee innovation and creativity,
encourages autonomy and responsible decision-
making.
> Increases decision-making close to the source
of the issue by people with direct knowledge of
the issues involved.
» Creates opportunities for a wider span of
skills, training, growth, teamwork, and
management experience throughout the
organization, providing a dispersed base of
expertise.
> Reduces time that centralized functional units
apply to routine operational issues, leaves more
time to concentrate on goals and strategic
direction while decentralized functional units
concentrate on operational activities.
Reaching the 1:11 Supervisor/Employee Ratio, and Reducing Control and Oversight
One recommendation of the National Performance Review (NPR) was to reduce
the costs and positions associated with management control structures by half over
a five year period. This will decrease government control and oversight, increase
customer focus, enhance employee empowerment, encourage the use of teams,
simplify control structures, and strengthen the use of information and communications
technology. The Office of Management and Budget (OMB) has issued guidance on
how to accomplish this, and has established a goal of redeploying 50% of current
supervisors, administrative, and "headquarters" personnel to positions directly
impacting customer service by 1999. OMB has released functional definitions for
these categories, which are contained in this document as Appendix C. The OMB
definition of "headquarters" employees is not based on geographic location, but
instead includes all employees performing oversight, evaluation control and program
management functions, regardless of location.
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EPA's preliminary interpretation of the definition of "headquarters" employees
excludes the following core, front-line functions:
Developing and implementing environmental regulations;
Pursuing inspection and enforcement actions;
Conducting research; and
Collecting and disseminating environmental/scientific data.
This is a preliminary list; other functions may be included at a later point.
Part of this effort involves the supervisor to staff ratio. President Clinton issued
an Executive Order requiring all federal government agencies to double the number of
staff per supervisor. EPA's current ratio is 1 supervisor per 5.5 staff, which means
that the Agency must reach a 1:11 ratio of supervisors to staff. Administrator
Browner is committed to reaching this goal by 1996. She has tasked each AAship
and RAship with attaining the 1:11 ratio, to enable the Agency to meet this goal.
If you find that restructuring is necessary to reach 1:11, the AA/RAship as a
whole must decide how to proceed. If it is decided that the AA/RAship will not
reorganize as a whole, all organizational entities within each AA/RAship need to
coordinate their respective reorganizations to ensure the entire organization reaches
the 1:11 goal. Unless the AA/RAship determines how the entire organization can
concurrently achieve the ratio and/or each organizational entity is required to
individually reach the goal, the lower organizational levels of the AAship may need to
have more staff per supervisor. If lower organizational levels must compensate for
smaller supervisor/staff ratios in immediate offices, staff offices, or other
organizational units in the AA/RAship, their ratio will be pushed higher, in order to
achieve the overall 1:11 goal. Keeping this in mind, it would be helpful for lower level
organizational units to know the ratio that will likely be achieved by Immediate Offices
and Staff Offices at the AA and OD levels, before they reorganize.
The ratio is calculated as:
# of supervisors
Total workforce - # of supervisors
The total workforce only includes EPA employees. AARPs, contractors,
and grantees are not included, whereas "Stay-in-Schools" are.
If you know the number of total employees in your organization, you can
determine the number of supervisors this workforce can support in a 1:11 organization
by the following formula:
Total workforce = Number of supervisors
12
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Supervisors are defined as any employee who has management or supervisory
responsibilities for three or more employees and officially holds the title of supervisor
or manager. This does not apply to project managers, who may be considered a
supervisor but are not officially designated as a supervisor or manager and do hot
have supervisory authorities. Supervisory and management authorities include: hiring
or firing; disciplinary actions; and signature authority, such as for leave, timecards,
performance appraisals and awards.
Supervisors in all immediate offices, staff offices, divisions, branches, sections
and units are to be counted. Individuals who hold titles such as Associate Deputy
Assistant Administrators, Special Assistants, and Team Leaders often are defined as
non-supervisors, if their responsibilities do not include performance of the authorities
outlined above. It should be clear in their position descriptions and conduct of day-to-
day activities that these individuals do not perform supervisory functions.
Placement of Functions/Activities
Factors to think about when considering where to place functions include:
» To the extent that close coordination is critical, activities
should be assigned to the same organization;
» For placement of miscellaneous functions, a good
possibility is the organization that most utilizes its services;
«* An activity that acts as a control on another activity must
be separate from it;
» An activity that might otherwise be overlooked can be
given emphasis by giving it its own organization (separating
important but easily overshadowed ancillary activities from
principal operations helps to assure they get done);
«* Motivation can be increased through reducing layers and
providing opportunities for recognition;
* Organizations have points of view that develop from the
type of work they do. Inserting an organizational element
that is inconsistent is usually unsuccessful, for example,
mixing quick turn-around and long-term activities;
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« Organizational units should be clearly enough defined that
everyone can easily identify which is responsible for any
given activity (otherwise valuable energy is consumed by
turf battles and assignment of work, and customers
dependent on services or products from the organization
become frustrated); and
« The structure should be free of gaps and overlaps.
WHERE TO BEGiN--Designing Organizational Options
Redesigning is a complicated and time-consuming process. As with every
reinvention and change effort, the redesign process should be as inclusive as possible,
including customers, all levels of employees, unions, and other stakeholders. It should
establish clear communication and feedback mechanisms; input, evaluation, and
feedback should be solicited from everyone affected throughout the process. The
broader the input, participation, and feedback, the better the opportunity to create a
design that results in greater understanding and commitment to the proposed
organization.
Identification of Work
By the time your organization has decided to reorganize, you would have
already taken a comprehensive look at what your organization does and what it should
be doing. However, when you are at the stage of actually designing organizational
options, it is helpful to revisit the baselines your organization developed, and list the
work that the organization performs and the major processes through which this work
is carried out. This information can then be considered in different structural
groupings.
Establish Organizational Considerations/Criteria
Each organization needs to determine its own specific considerations, criteria,
and needs that they want a restructured organization to meet. Organizational
considerations should be kept in mind while developing options, and are useful for
qualitatively evaluating these options; they are rarely amenable to quantitative
evaluations. Each organization will have different considerations based on its need
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for change and the vision of what that change will bring. Examples of typical
considerations are:
How will the design-
is" Address problems inherent in the current structure (some
problems can be addressed through organizational structures,
some cannot);
« Address the organization's vision, mission, values, and goals;
» Meet customer needs;
« Maximize employee empowerment and accountability;
« Facilitate cooperation, coordination, communication, and
teamwork within the organization;
« Facilitate delegation of authorities to the lowest appropriate levels;
«« Achieve the flattest, most appropriate levels of review and
signature;
«s- Enable the organization to react in a changing environment;
cr Achieve a 1:11 supervisor to staff ratio; and
« Achieve a reduction and redeployment in administrative and
"headquarters" positions as discussed in the NPR?
Creating Organizational Options
Once you've established organizational baselines and determined the
considerations and criteria you want the new organizational structure to address, you
are ready to start creating organizational options. It is very important at this stage to
look broadly at your organization and its major areas of responsibility: designing
structures should proceed from the macro to the micro. The process should begin
with determining macro organizing principles such as broad categories of groupings.
These principles will be shaped and determined by the organization's functions, goals,
and values. Application of these principles should then be repeated as you move to
lower levels of the organization.
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When creating and comparing the organizational design options, it is critical to
get input from the stakeholders. Looking back at the criteria can help you balance the
costs and benefits of each option or combination of options.
Your first task will be to look at how best to departmentalize, or group, your
work and responsibilities into macro organizational units. Generally, there are four
major ways to group work, by: product, function, place, and customer. The table
below provides information on these major groupings.
Grouping
Definition
Attributes
EPA Example
Product
Group by output
such as a product
or service.
+ Promotes coordination of
functions on products/services.
+ Uses & encourages specialized
product/service knowledge.
+ Focuses attention on
product/service.
+ Enhances employee identification
with mission.
+ Accountability for all facets
surrounding product.
+ Promotes strong customer focus.
+ Easier to control deadlines
because one person sets priorities.
- Multiple functions grouped
together.
- Necessity for duplication of
functions across Agency, as similar
functions go into different products.
OSWER's Policy
and Standards
Division (product-
policies and
standards for
underground
storage tanks)
OAR's Emission
Standards Division
(product- air
emission standards)
Function
Grouping similar
work activities.
+ Maximizes the economies from
functional specialization (lawyers,
accountants, etc.).
+ Reduces duplication of personnel
and equipment.
+ Highlights critical skills.
+ Allows pooling of infrequently
used skills (i.e., statisticians).
+ /- Employees are part of a
homogenous group.
- Overspecialization can lead to a
narrow view point.
OGC (function-
legal analysis)
ORD Labs
(function-research)
National Data
Processing Division
(function-data
processing)
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Grouping
Definition
Attributes
EPA Example
Place
By the location
where the work is
performed or the
area to be served.
+ Can apply an intimate knowledge
of local conditions of a specific
nature.
+ Provides sound basis for
decentralization.
- Can increase cost by duplicating
facilities and overhead.
- Leads to inconsistencies.
- May produce competitiveness, thus
limiting the amount of cooperation
among units.
Gulf of Mexico and
Great Lakes
Program Offices,
OARM in Cincinnati
and RTP
Customer
By customer or
other stakeholder
or by the
characteristics of
stakeholders.
+ Build around stakeholder;
necessitates deep knowledge of
stakeholder.
+ Can provide for coordination of all
activities affecting stakeholder.
+ Assures attention to stakeholder
problems.
+ Strong stakeholder focus -
enables quick reaction to changing
stakeholder needs.
- Can increase cost by duplicating
activities and overhead.
- Can create pressure groups on
behalf of categories of stakeholders.
OHRM's servicing
teams, OSWER's
Federal Facilities
Remediation and
Reuse Office,
Office of Small and
Disadvantaged
Business Utilization
The current trend is to move away from function-based organizations. Product,
customer, and place organizations focus more on the needs of stakeholders, and have
the potential for more collaborative, innovative, and flexible operation. It is not
always easy to distinguish product and function structures. Product structures have
all the skills needed to produce an output in one organization. There is often
duplication in organizations structured this way. Functional structures are organized
by type of work, and may contribute pieces to many different outputs. Often function
organizations look at other parts of the organization as "clients."
Most organizations, including EPA, combine several of these major groupings from
layer to layer and within layers. For example, regional offices are organized first by
place (region), then by product (air, water, etc.) and function (Environmental Services
Division, ESD). No grouping(s) create the "perfect" structure: the final design should
be based on the best configuration to achieve the organization's vision, with a balance
of the advantages, disadvantages and other determinants, such as available resources.
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REINVENTING EPA VI. Organizational Layers and Organizational Design
Choosing Among Organizational Design Options
Once you have determined where you are, your vision of where you want to
be, and what the organizational options are for getting there, you are faced with
choosing an option. There are no easy formulas for making this decision, but there
are a few guidelines which may be helpful.
«* Involve employees, customers, unions and other
stakeholders in this decision. All affected parties should
have a chance to review the options and discuss the
impacts they believe would result from each option. Only
through this input can each option be fully understood.
This information will improve the quality of the ultimate
decision.
*s- Look at the criteria you developed earlier in the process.
Check to see that the options meet the criteria your
organization established.
« Look at the vision your organization developed, and
determine whether each option would move you toward
that vision.
« Evaluate the options for the amount of disruption they will
cause and for how long this disruption can be expected to
last. Any change causes disruption and associated costs,
such as decreased productivity. It often takes twelve to
eighteen months to make a complete transition. It is
important to find ways to maximize employee morale and
productivity during this time. This does not mean that the
least disruptive option is always the most desirable; it is
just one factor among many to consider and weigh.
« Look at the supervisor to staff ratio and the number of
layers of supervision required by each option.
» Look at what the management system and accountability
chain would look like under each option.
V
er Think about how delegated authority could be effectively
managed/tracked under each option.
s- Look at the flow of communication on decisions, products,
and services as well as on the work environment.
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REINVENTING EPA VI. Organizational Layers and Organizational Design
« Ask what economies of scale would be realized in
organizing each way.
*? Examine whether functions are duplicated within or outside
the organization.
is- Look at the skill mix needed to accomplish the mission of
each substructure in the options, and ask how this differs
from the existing skill mix.
*3f Examine each option for developmental opportunities for
employees.
Remember: it is not possible to design an organizational structure that optimizes
everything! There are always tradeoffs. The objective is to organize around the most
important or frequent considerations and plan to mitigate the negatives.
Checklist for Implementing and Evaluating New Structures,
and Common Pitfalls
Implementation
Once an organizational design has been chosen, there are several things to think
about and plan for, including:
Assignment of employees to jobs within the new structure;*
Disruption;
Employee feelings of instability and insecurity; resistance;
Training and developmental needs;
Reorganization paperwork (e.g., functional statements,
organization charts, staffing patterns, position descriptions and
performance agreements);
Budget allocation and financial system changes (PEs, allowance
holders, etc.);
Telecommunications, computer and LAN needs and changes;
Space and equipment needs and transfers;
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REINVENTING EPA VI. Organizational Layers and Organizational Design
Directive changes (e.g., delegation of authorities, guidance,
policies); and
Approval process and union review.
* AA/RAs should use reorganizations as opportunities to enhance workforce
diversity in management, especially in any new management positions created
by the reorganization.
Evaluation
Once the new organizational design is firmly established and operating, you will
want to evaluate it to determine whether it has met your needs, or whether additional
changes are necessary, either due to evolving organizational needs or to fine-tuning
your structure to meet previously identified needs. As always, be sure to involve
employees, customers, unions, and other stakeholders. Ask questions such as:
+ How well is the organization progressing toward the vision?
+ Are the stated values of the organization being incorporated into
the day- to-day work and decision-making?
»> What are the customer and stakeholder responses to the
effectiveness of the new organization?
» Has the organization empowered the employees and built-in
accountability to the desired level?
> What is the level of employee satisfaction and productivity?
> Does this structure enable the organization to respond effectively
to changes in the organization?
* During this process of change, are there historical patterns of
resistance or dysfunction, and has the resistance been reduced?
+ Has the 1:11 supervisory ratio been achieved, and if so, how is it
working?
Common Pitfalls
Restructuring an organization is a complex and lengthy undertaking with much
at stake. Following is a list of common mistakes made during reorganizations which
make the process more difficult and the result less effective:
Too little or inadequate communication at all levels;
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REINVENTING EPA VI. Organizational Layers and Organizational Design
Lack of timely involvement with union representatives;
Organizing around "personalities," and losing sight of the
function and mission objectives;
Forcing too much into too short a timeframe;
Not clarifying roles of those involved in the process and ,
how decisions will be made;
Creating a perception of pre-selection; and
Not enough attention to employee issues such as: when
will the change take place, what will my job be, where will
I sit, who is my boss, will I keep my grade, and will I have
career opportunities in the new organization.
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REINVENTING EPA
VII. bnptementrig Change
VII. Implementing Change
The five major topics covered in this guidance (vision and values, a customer-
focused organization, diversity, a collaborative working environment, and the
appropriate number of organizational layers) are important characteristics of the
reinvented EPA. However, knowing and understanding these is just the beginning-the
biggest challenge is translating these ideas into organizational and cultural change.
To facilitate cultural change, whatever process your organization decides upon should
include mechanisms for employee, customer, and other stakeholder input and
feedback. As Administrator Browner stated, "each organization [will] have an open,
participatory process for developing and implementing reinvention plans." There is no
one correct way to implement any reform, but the process described here is a logical
way to begin thinking about it.
where are we?
Culture and Infrastructure
Work of O-ganlzatlon
Stakeholders
Eva Iuate
Set aucceaa meeaurae
Involve Stakeholdere
Bevlae vlelon If
structure chance
Where are we going?
Vlelon and Values
culture cnanges
SupervlBor/Stoff ratio
Implement
Suetnlned attention to
Dedicate resources
Allow sufficient tl
O~oate cornnrtmant to change
What Is missing?
EnpowanMnt.
Skill OTBB deficiencies
Diversity
Brood-baaed Involvement
How do we fill the gap?
Working In Team
Reorc*ntzatlon
chance
Stair training
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REINVENTING EPA VII. Inpkxnenting Chaige
1) First You Need to Know Where You Are
Look at the organization and determine whether there is a clear vision and
values and if they are widely held, understood, and usable. Determine to what extent
the organization is focused on customers, and how well diversity is utilized and
valued. Look honestly at the extent to which employees are involved in making
decisions and at how collaborative work processes are. Evaluate the organization's
functions and positions, and determine which fall into the category of Headquarters
administrative or supervisory (see definition, Appendix C). The questions contained
throughout this guidance are a good place to start in determining these baselines.
Determining organizational baselines requires that you look at your work as well
as your culture. To do this, define existing work, analyze current mandates, and
examine existing working and customer relationships internally and externally. Study
the workforce characteristics, current skill mix, and count the available resources such
as FTEs, money, and equipment. Identify the functions, programs, or activities that
should be de-emphasized or eliminated.
Throughout the process, it is important to provide communication and feedback
to interested and involved employees, customers, and other stakeholders.
Communication should take place on a regular and timely basis, utilizing mechanisms
such as all-hands meetings, EMAIL, memos, and staff-to-staff exchanges to update,
inform, and obtain feedback from all stakeholders.
2) Next, Determine Where You Want to Be
This involves creating a vision for the organization. This vision should paint a
picture of the organizational culture of a reinvented EPA at your organizational level,
and should include important cultural considerations such as customer focus,
employee involvement, collaborative working relationships, and valuing diversity. To
have value, the vision should be a collaborative effort. Section II on Vision and Values
provides information on how to think about developing a vision.
In performing all steps, but particularly this one, you should be as inclusive as
possible. Involve all stakeholders, including customers and a representation of all
affected employees (or if feasible, include all employees). These efforts will result in
a better outcome, more commitment to the outcome, and a more challenged,
motivated, and efficient workforce.
3) Determine What is Missing
Compare where you are with where you want to be. In what areas are there
disconnects? What skill areas are lacking in order to. enable your organization to reach
its vision? By identifying what gaps exist you can see where the organization has an
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REINVENTING EPA VII. implementing Change
opportunity to improve. By determining what areas you need to focus on and how
far away from your goal you currently are, you will be able to develop solutions.
4) Determine How to Fill the Gap
View this effort as an opportunity to develop a totally new and better
organization, not just a reconfiguration or combination of existing activities. Look at
new ways to perform all aspects of your work, including functions, employee skills,
and communication. Different solutions will be appropriate depending on what is
needed. This guidance discusses some potential solutions. For instance, if the gap
lies in valuing diversity, Chapter IV discusses ideas for improving this aspect of the
organization. If the gap involves employee behaviors, the section on working
collaboratively offers ideas on how to foster this type of culture. In some instances,
the gap will suggest a structural solution. Some of the reasons the organization may
benefit from a reorganization are discussed in Chapter VI.
5) Implement the Solution
Once you have determined the best way to move from your current to your
desired state, you must implement the solution(s). Again, depending upon the
opportunity you are concentrating on, the appropriate section of this guidance should
provide you with a place to begin. Be sure to recognize the importance and
complexity of implementing solutions, and dedicate the necessary resources and
attention to this step. Also, most implementation takes time and will require
sustained attention and commitment to achieve desired changes.
6) Evaluate the Organization's Progress
Once the desired change has had some time to become operational, you should
evaluate the impact it has on the organization. Compare it against your baseline and
vision, and include extensive contact with employees, customers and other
stakeholders of your organization's services and products to determine if needs are
being met in the most effective way. This step involves going back to the beginning
of the process; looking at where you are now and where you want to be, and revising
your vision if necessary.
Some measures of progress which may be used to help evaluate the change
are:
Speedier and better services to be more responsive to
Agency customers;
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REINVENTING EPA VII. Jnylementing Change
More positive commentary from Congress and the media
about EPA's management practices, and indications of
greater trust in the Agency's management of its programs
and resources;
Increased interactions among EPA staff, unions and
stakeholders and greater reliance on their feedback in
Agency planning and decision-making activities; and
Increased representation of culturally diverse employees in
the Agency, especially in management positions.
The reinvented EPA will be a fluid, evolving organization. It is not a question
of reaching a numerical goal, such as a 1:11 supervisor to staff ratio, but rather a
matter of creating a new culture. This will require the ability to constantly adapt to
changes and evaluate where the organization stands. To be successful, the Agency
must create a culture in which people are comfortable with change.
The Human Side of Change
One of the most difficult parts of any reinvention activity is in managing the
human aspects of change. As your organization begins its reinvention activities,
employee stress levels will increase as a reaction to change and uncertainty. It is
important for managers to develop skills in helping their employees to deal with
change. The natural reaction to change must be acknowledged, understood, and
addressed if the reinvention activities are to be successful.
Common Reactions to Change
Each employee will react differently to change. However, some generalizations
can be made. When people find themselves in a changing environment, they often
experience a range of different emotions, both positive and negative. Positive
emotions include excitement, anticipation, energy, and acceptance. Negative
emotions include anger, nervousness, apathy, and resignation. To prevent these
negative emotions from harming the organizations and to address anxieties about
change, it is important to understand the sources of these anxieties, and the stages
through which anxieties are experienced. Below are seven common reactions to
change:
Employees feel uncomfortable/anxious about change;
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REINVENTING EPA
VII. Implementing Change
Employees first think about what they may have to lose or give up
in times of change;
Employees generally feel alone when going through change;
Employees can generally only handle a limited amount of change
at one time;
Employees are at different levels of readiness for a given change,
as a result, they need different levels of assistance;
Employees are concerned that they don't have enough resources
to help them deal with the change; and
Employees commonly revert back to the old way of doing
business.
The seven common reactions to change discussed above appear in four phases:
1. Denial, characterized by withdrawal and focus on past rather
than future;
2. Resistance, characterized by anger, blame, anxiety,
depression, and apathy;
3. Exploration, characterized by concern for detail and
confusion; and
4. Consent/Commitment, characterized by cooperation,
focus, and anticipation.
WHERE TO BEGiN-Bringing About Productive Change
To bring about productive change, all employees must feel connected and
involved. The reasons behind the change must be effectively communicated to all
employees. It is important to establish good lines of communication and solicit
input from all levels of employees. A rapport and trust should be established at the
very beginning of the process. Below are ideas that can help you address different
phases of change.
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REINVENTING EPA VII. bnplementng Change
THINGS TO CONSIDER
Managing the denial and resistance phases:
« Recognize that change makes everybody feel stressed and
awkward, and allow people to share their feelings together;
» Address specific fears or anxieties in small groups;
« Involve all employees in discussing the need for change;
« Talk about the expected gains, as well as expected changes in a
reinvented organization; and
« Allow adequate time for employees to grieve over the changes.
Managing the exploration phase:
« Communicate with all employees and keep them updated on the
latest happenings in the organization;
E? Involve the employees in the process of reinvention from the
beginning;
« Offer assistance/counseling to employees at different levels of
readiness;
«» Identify the resources needed and available for the reinvention
effort, such as training courses or consultant help; and
K? Encourage employees to be entrepreneurial in finding resources and
ideas.
Managing the consent/commitment phase:
«* Fully embrace reinvention ideas;
« Institutionalize reinvention ideas as soon as possible; and
« Provide continued training to help employees convert to the new
way of doing business.
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REINVENTING EPA VII. Inytementing Charge
Moving Forward
To maintain, strengthen, and move ahead with the change process requires
the involvement and support of all EPA employees. In particular, the dedicated,
continuing commitment of managers to support change is necessary. Without
continued attention to EPA's ultimate vision, we will lose momentum, making
success that much harder to attain. We must take the time now to do this right,
so that we are not in a position of doing it over. Change is an evolving process,
and without sustained attention to where we are going, what process we are using
to get there, and what skills we must develop along the way, we are in danger of
getting onto the wrong track, or of getting derailed entirely. However, the
destination will be worth the trip, if we maintain our focus on EPA's shared vision.
This document has discussed several major areas of consideration for
reinventing the Agency. While the change process will be difficult and will take a
long time to implement, it will move EPA into an exciting new culture and way of
achieving its mission. Our culture will become one in which all employees are
valued, and fully participate in the work of the Agency. We will have clear values
and a vision which are shared by all employees, and we will better serve our
stakeholders and be able to respond to their needs. At no time in its history has
EPA been more prepared and responsive to making a change of this magnitude,
and it is up to all employees to make the most of this unique opportunity to make
EPA an even better organization.
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REINVENTING EPA Appendices
APPENDICES
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REINVENTING EPA - STEPS TOWARD A STRONGER WORKFORCE
Appendix A: Reinvention Implementation Plans
FINAL 11/21/94 Revision
This revision of EPA's reinvention guidance Appendix A reflects
outcomes agreed upon by the Administrator and Senior Leadership
Council at the Council's 11721 /94 meeting. It supersedes any previously
distributed versions of Appendix A.
Appendix A is designed to provide a format for Assistant, Associate, and
Regional Administrator (AA/RA) Reinvention Implementation Plans, and
to describe the areas that are to be addressed in these Plans. This
revision of Appendix A also includes information developed and agreed
to by the Senior Leadership Council for developing and submitting
Reinvention Implementation Plans and reorganization proposals:
Attributes: for AAs/RAs to use in determining how best to
structure their organizations; and
Development, Review, and Approval Process: for
Reinvention Implementation Plans and AA/RA
reorganization proposals.
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REINVENTING EPA Appendix A
Reinvention Implementation Plans
All Assistant, Associate, and Regional Administrators must submit Reinvention
Implementation Plans to the Administrator by March 31, 1995. If you plan to reorganize,
and need additional time to develop a proposal, you may submit your Plan without a fully
detailed "Organizational Design" section; however, you must at least indicate your intent
to reorganize and briefly describe how you plan to reach the Agency's reinvention goals
(reduced organizational layers, 11:1 employee/supervisor ratio, etc.) In this event, you may
submit your detailed "Organizational Design" section after March 31, along with a
reorganization proposal, but no later than June 30, 1995.
Format and Content
The content of the plans follows the reinvention components set forth in this
guidance document. In addition, EPA's senior leadership has identified six organizational
attributes for Assistant/Associate/Regional Administrators to use in determining how best
to structure their organizations: Accountability; Communication and Coordination;
Customer Focus; Integrity\ Efficiency and Effectiveness; Measurement and Evaluation; and
Reinvention and Streamlining. These attributes are described on pages A-6 through A-12
of this revised Appendix A. Development of each plan should be an inclusive process,
involving unions, employees, customers, and other internal and external stakeholders.
Although additional information may be submitted in any area, at a minimum, the plans
must address the issues in each of the following 5 sections. As you prepare your plans,
please use the same section numbers and headings as those listed in the following format:
I. INTRODUCTION. An overall description of your organization's approach to reinvention at the AA/RA
level and the sub-office levels. Identify your organization's understanding of the need for change, the
goals that you are seeking to achieve in organizational and workforce transformation, the results that
you think will accrue from the change, and the challenges that you face. Describe the approach you are
using to have an open and inclusive process that includes customers, unions, employees, and other
stakeholders in reinventing your organization.
II. REINVENTION GOALS. For each reinvention goal below, provide:
A description of the state your organization was in regarding this goal before reinvention
activities began. This is the baseline against which your success in meeting the goal will be
measured, and should include actual data wherever applicable.
A description of what you have accomplished toward meeting the goal thus far.
A description of the specific steps and activities you plan to take to meet the goal, if you have
not already met the goal. Describe any barriers you anticipate in reaching the goal, and how
you plan to overcome those.
A description of the process(es) you have used thus far to meet the goal, and what process(es)
you plan to use to complete the remaining steps and actions.
The specific deadlines and milestones that your organization has set for accomplishing the steps
and actions that you plan to take.
A-1 FINAL 11/21/94 REVISION
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REINVENTING EPA Appendix A
A. SHARED VISION AND VALUES: A shared picture of your organization's desired future (vision), and
the operating principles that are important for working within the organization (organizational values
and behaviors).
B. CUSTOMER FOCUS: Conducting your business so that everything you do supports the ability of
front-line workers, inside and outside EPA, to deliver improved environmental results to
stakeholders. [Customer focus applies in all reinvention activities, including determining the
organizational vision and values, working collaboratively, teamwork, organizational design, process
re-engineering.]
C. DIVERSITY: Having, utilizing, and valuing diversity throughout your organization at all levels and
in all program activities.
D. WORKING COLLABORATIVELY:
1. Empowerment-Providing your employees with the knowledge, skills, authority,
accountability, and capacity to achieve quality results.
2. Teams-Working collaboratively within your organization and across organizations, using
groups of people with complementary skills who hold themselves mutually accountable for
their performance.
3. Management Behavior-Redefining the roles and skills of your managers so they are
coaches and facilitators who remove barriers to employee productivity and creativity.
E. ORGANIZATIONAL DESIGN: [If you plan to reorganize, and need additional time to develop a
proposal, you may submit your Plan without addressing this section in detail; however, you must
at least indicate your intent to reorganize and briefly show how you plan to reach EPA's reinvention
goals listed below. In this event, you may submit your detailed "Organizational Design" section
after March 31 if more time is needed, along with a formal reorganization proposal, but no later than
June 30, 1995.]
1. Reduced Organizational Layers-Minimizing the number of management layers between the
people doing the work and the decision-makers.
2. 1:11 Supervisor-to-Emplovee RatioHaving an average supervisor to employee ratio of
1:11 in each AA/RAship by 9/30/96.
3. "Headquarters'/Administrative Staff Redeplovment-Wherever appropriate, redeploying
current supervisors and OMB-designated administrative and "Headquarters" personnel (see
Appendix C) to positions directly impacting customer service by 1999.
4. Flexibilitv-An organizational structure that readily accommodates the need for changes in
the mission, number, and composition of teams.
5. Attributes--EPA senior leadership is giving special emphasis to the following characteristics,
which apply to the way the Agency conducts its business and structures its organizations:
Accountability; Communication and Coordination; Customer Focus; Integrity, Efficiency and
Effectiveness; Measurement and Evaluation; and Reinvention and Streamlining. Those not
addressed adequately elsewhere in this Plan should be addressed in this section with
analytic rigor. A description of the attributes can be found on pages A-6 through A-12 of
this Appendix.
111. EVALUATION. Describe how you will gauge the success of your organizational reinvention, and how
you will evaluate the measures of success.
FINAL 11/2*1/94 REVISION
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REINVENTING EPA Appendix A
IV. COMPOSITE MILESTONE CHART. Show how all milestones and deadlines fit together into an overall
reinvention plan, including critical junctures for assessing your organization's progress.
V. CONCLUSION. .Describe any issues your organization foresees in implementing change, including
resource concerns or areas which OARM or the Management Committee/Senior Leadership Council
should address, and any areas of impact or need from other AAs/RAs which affect your success.
Development, Review, and Approval Process
DEVELOPING THE REINVENTION PLAN (AND AA/RA REORGANIZATION PROPOSALS)
Step 1 - Plan for Up-front Communication: In developing your reinvention implementation
plan and reorganization proposals, you should ensure that your process allows for sufficient
up-front communication, consultation, and coordination with your internal and external
customers, stakeholders, and all staff. This will enable the review and approval process
for your plan -- and if applicable, your reorganization proposal -- to proceed smoothly. In
developing this communication/coordination strategy, you should consider:
Obtaining designated contacts in each AA/RA/Associate-level Offices to
work with your office on reinvention plans and reorganization proposals;
Designating a contact in your AA/RA/Associate-level Office to work with
other Headquarters and Regional Offices on reinvention plans and/or
reorganization proposals.
Also, it is important at this early stage to contact the Management and Organization
Division (M&O) on 202-260-5000 for consulting and analytical assistance in formulating
your plans.
Step 2 - Assess Your Organization: Using Reinventing EPA, the Agency's reinvention
guidance, determine how well your organization is able to meet the Agency's reinvention
goals. You should identify any problems and barriers to reinventing your organization, and
develop recommendations for addressing them. This may, or may not, lead to a
reorganization. If you decide to reorganize your Office:
Solicit involvement and input, as appropriate, from employees, unions, and
external customers and stakeholders, such as the States, Tribes,
environmental groups, industry, the Office of Management and Budget,
General Accounting Office, and Congressional committees and staffs.
Consult early on with other affected Headquarters and Regional Offices,
M&O, Human Resource advisors, the Administrator's Office, Congressional
Liaison, Public Affairs, and the Office of Regional Operations and State and
Local Relations.
Step 3 - Develop Your Reinvention Implementation Plan: Using the format provided on
pages A-1 through A-3 of this revised Appendix A, you should prepare a reinvention
implementation plan covering your entire AA/RA/Associate Administrator-level Office. (If
A-3 FINAL 11/21/94 REVISION
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REINVENTING EPA Appendix A
you have questions on this format, or the required contents of your Plan, please contact
M&O on 202-260-5000.)
Step 3A - Develop Your Reorganization Proposal: After assessing your AA/RA/Associate
Administrator-level Office and its ability to meet the reinvention goals outlined in this
Appendix, you are likely to make one of the following determinations:
No Reorganization: Your current organization can meet the goals structured
as it is now; you will submit your Reinvention Implementation Plan without
a reorganization proposal.
Prior Reorganization: Your office must reorganize; you will submit a
reorganization proposal before completing your Plan.
Concurrent Reorganization: Your office must reorganize; you will submit a
reorganization proposal along with your Plan.
Subsequent Reorganization: Your office must reorganize but needs
additional time to develop a proposal; you will submit a reorganization
proposal after turning in your Plan. [NOTE: You may submit your Plan
without a detailed "Organizational Design" section by March 31, 1995;
however, you must submit this section, along with your formal
reorganization proposal, no later than June 30, 19951.
All of these determinations are acceptable as long as your Office has conducted sufficient
analysis to support and explain your decision.
A reorganization includes organizational reconfigurations, additions and deletions,
and name changes, as well as addition or deletion of functions. An AA/RA/Associate-level
reorganization is one that occurs at a level (HQ office or Regional division) immediately
below the AA/RA/Associate Administrator. To meet reinvention goals and attributes
criteria, you also need to address location of critical, smaU-sized program functions below
the AA/RA/Associate level, such as the transfer of a function from one branch or division
to another, or across the organization.
You may submit lower-level reconfigurations or restructuring as one overall
AA/RA/Associate reorganization, or you may submit lower-level reorganizations separately.
Reorganizations at all levels must meet reinvention goals, attribute criteria, and
internal/external customer involvement.
If you decide that your AA/RA/Associate-level Office needs to reorganize to meet
the Agency's reinvention goals, you must prepare a reorganization proposal, in addition to
your Reinvention Implementation Plan. To develop a reorganization proposal, refer to:
Reinventing EPA: this information - though not prescriptive - can help you
to avoid the common pitfalls in implementing change;
EPA's Organization and Functions Manual: this provides EPA guidelines,
procedures, and forms for preparing and submitting reorganization proposals
A-4 FINAL 11/21/94 REVISION
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REINVENTING EPA Appendix M
[NOTE: M&O plans to review the Agency's reorganization procedures to
identify needed improvements and streamlining opportunities];
E EPA's Delegations Manual: you will need to identify any changes to
delegated authority and arrange to revise appropriate delegations;
organizational attributes criteria; and
the options for enforcement reorganizations in Regional offices developed by
the Regional Enforcement Reorganization Task Force.
Again, you should remember to involve employees, unions, and external customers and
stakeholders, including other affected Headquarters and Regional Offices, M&O, Human
Resource advisors, the Administrator's Office, and the Office of Regional Operations and
State and Local Relations. M&O will work with you as a consultant and advisor throughout
the reorganization process. You are strongly encouraged to discuss and/or circulate drafts
of your Reinvention Implementation Plan and any reorganization proposals with affected
EPA offices.
REVIEW AND APPROVAL FOR REORGANIZATION PROPOSALS
Step 4A - Review of Your A A/RA/Associate level Reorganization Proposal: Reorganizations
at the AA/RA/Associate Administrator-level usually involve significant and potentially
controversial changes. The Agency's senior leadership is open to innovative and wide-
ranging changes, and wants to ensure that appropriate review and discussion of the
proposals occur. As a result, they have decided that AA/RA/Associate Administrator-level
reorganization proposals must undergo Agency-wide review for 10 work days.
Once your final reorganization proposal package is complete, M&O will distribute it
to Headquarters and Regional Offices for a 10-work day "exceptions only comments"
review period. Agency Offices are encouraged strongly to work together to resolve
comments. M&O will forward all comments on the proposal and will assist Agency Offices
as needed in discussing and resolving any issues. The adequacy of your advance work
with customers and stakeholders including other Headquarters and Regional Offices will
affect the number and complexity of comments you receive during the review process. To
the extent possible, you should resolve any issues and conflicts prior to submitting your
final package for review and approval.
You are not required to submit reorganizations below the AA/RA/Associate
Administrator level (see reorganization description on page A-4) for Agency-wide comment.
Headquarters division-level reorganizations are submitted to M&O and approved through
EPA's streamlined review and clearance process. Reorganizations below the division-level -
- affecting existing division branch and section functions/structure -- may be approved by
the AA/RA without Agency-wide review. However, if you plan to reorganize your
AA/RA/Associate Administrator-level Office and the planned reorganization takes place
across most of your lower-level organizations, it is beneficial for the Agency to see the
proposal in an overall framework rather than unit by unit. This practice builds trust in the
process to achieve reinvention goals and helps the Agency see its work as a interrelated,
connected mission and organization.
A~lSFINAL 11/21/94 REVISION
-------
REINVENTING EPA Appendix A
Step 5A - Approval of your Reorganization Proposals: No later than 15 work days from
receipt of the final reorganization package, M&O will submit a decision memorandum to the
Administrator/Deputy Administrator for signature. To meet this-tight 15-work day
turnaround on AA/RA/Associate-level reorganizations, reviewers must review and comment
on proposals within the requested 10-work day period and not ask for review period
extensions.
After your reorganization proposal is approved, M&O will forward the package to
your Human Resource advisor who will transmit the package to the appropriate Union(s)
for review. The Unions usually are allowed a comment period of 10 work days, although
this may vary by location. The Human Resource advisor will notify M&O and you of any
union comments and when the review is complete. A reorganization may not be
implemented until all steps through 5A, including union review, have been completed.
REVIEW AND APPROVAL OF REINVENTION IMPLEMENTATION PLANS
Step 4B - Review of Your Reinvention Implementation Plan: You need to submit your
reinvention plan to the Administrator, and a copy to M&O, no later than March 31, 1995.
The review of Reinvention Implementation Plans will be accomplished in a collegia! forum.
A Review Panel made up of representative stakeholders will be designated to provide
analysis and comments on the plans to the Administrator/Deputy Administrator and
feedback to the submitting office. It is anticipated that the Review Panel will be in place
in early January so that plans coming in before the due date of March 31, 1995 will be
reviewed and offices can implement their plans as soon as possible.
Step 5B - Approval of Reinvention Implementation Plans: The Administrator and/or Deputy
Administrator will provide feedback to AAs and RAs on the adequacy of their plans, and
implementation of the concepts and actions. The Administrator, Deputy Administrator, and
Review Panel will take into account other actions related to reinvention in reviewing these
plans, such as previously approved reorganizations. They realize many reinvention activities
already are underway, and it is important for you to continue those efforts. They see the
reinvention implementation plans as further solidifying and integrating Office and Agency-
wide activities.
Organizational Attributes
WHAT IS AN "ATTRIBUTE?" In context of the "reinvention" process, an attribute is a
quality or characteristic evident in a Headquarters or Regional Office. Each Office's
reinvention plan -- or reorganization proposal if the structure will change must adequately
describe how the existing or proposed structure satisfies the attributes in order for Agency
management to approve the plan for implementation.
BACKGROUND
To strengthen the ability of their, organizations to reinvent and streamline their
organizations, address program shifts caused by the Regional Enforcement Task Force, and
achieve the goals and principles outlined in the Agency's Strategic Plan and their draft
A-6 FINAL 11/21/94 REVISION
-------
REINVENTING EPA Appendix A
Reinvention Plans, EPA's Regional Administrators requested the Senior Leadership Council
(SLC) to identify the guidelines and parameters for reorganizing the Regional Offices. As
a result, the Administrator charged a subset of the SLC with developing a set of attributes
for the Regions to use in determining how best to structure their organizations. This
"Regional Attributes Workgroup" determined that all Headquarters and Regional Offices
must be structured to meet not only the organizational guidelines and factors laid out in
Chapter VI of the Agency's reinvention guidance, Reinventing EPA, but the following
attributes as well:
ACCOUNTABILITY
COMMUNICATION AND COORDINATION
CUSTOMER FOCUS
INTEGRITY, EFFICIENCY, AND EFFECTIVENESS
MEASUREMENT AND EVALUATION
REINVENTION AND STREAMLINING
ANALYTIC RIGOR
Reinvention plans and reorganization proposals must reflect the analytic rigor used to
determine whether or not a reorganization is needed, and why a particular reorganization
is being proposed. A description of how your AA/RA/Associate-level Office satisfies the
Agency's preferred organizational attributes described at the end of this revised Appendix
A - is a key component of analytic rigor. Analytic rigor refers to the thoroughness and
discipline of your assessment and, in context of developing reinvention plans and activities,
explains:
the issues and problems related to your current organizational structure;
how the current or proposed organization addresses those issues and
problems;
how the organization, current or proposed, satisfies the attributes;
how continuity will be maintained to ensure:
minimal loss of momentum for, or work slowdown on, single
media programs, and management & financial functions;
continued or improved progress in multi- and cross-media work
and strategic priorities;
existing national procedures, processes and systems are still
carried out; and
overall why a reorganization is or is not being sought.
A-7 FINAL 11/21/94 REVISION
-------
REINVENTING EPA Appendix A
There is no one "right" way to demonstrate analytic rigor. Each Headquarters and
Regional Office must use its own judgment in determining how best to show or report on
the analysis supporting its decision of whether or not to reorganize. A good example of
analytic rigor in a reorganization proposal is the inclusion of a walk-through of how major
activities in each environmental media would work under the new structure, compared to
the existing structure.
Another example that highlights the thinking on continuity of functions is the
inclusion of an implementation plan that lays out a smooth transition from the current
structure to the proposed one, and describes considerations that will be affected such as:
budget allocation and financial system changes; staff training and developmental needs;
telecommunications, computer, or LAN needs and changes; and directives (delegations of
authority, guidance, policy).
EPA's senior managers believe analytic rigor is important, not to serve as a
justification or "paper trail," but rather as a means of communicating the intent of and to
discuss how the proposed plan might work in creating a better operating organization. EPA
must be able to answer questions from internal and external stakeholders and customers
(including employees, Congress, states and tribes) such as "Why is (or isn't) a new
organization needed?" "What problem(s) will be improved with the reorganization?" "Will
transaction costs increase or decrease?" "How will the new organization better deliver
services or fulfill its mission?" "What will it deliver in terms of benefits?"
INCLUSION OF THE ATTRIBUTES
EPA senior leadership has determined that all Headquarters and Regional Offices must
be structured so that they meet these attributes, in addition to the guidelines and factors
laid out in Chapter VI of the Agency's reinvention guidance. Agency Offices should
address the attributes as follows:
If you decide not to reorganize: If you determine that your AA/RA/Associate
Administrator-level Office can meet the Agency's reinvention goals and satisfy
the organizational attributes and therefore choose not to reorganize you
must describe how your organization addresses the attributes in the
"Organizational Design" section of your reinvention implementation plan.
If you decide to reorganize: If you determine that your AA/RA/Associate-level
Office needs to reorganize to meet the Agency's reinvention goals and satisfy
the attributes, you must declare and describe any intent to reorganize in the
"Organizational Design" section of your reinvention plan. You also must
describe how your organization will address the attributes in the "Analysis of
Benefits and Impact on Program" section of your reorganization proposal.
Your reorganization proposal must also follow the Agency's guidelines for
preparing and submitting reorganization proposals. Offices considering a
reorganization should contact M&O on 202-260-5000 for consulting
assistance and reorganizing guidance as soon as you are aware of your need
to reorganize.
A-S FINAL 11/21/94 REVISION
-------
REINVENTING EPA
Appendix A
DESCRIPTIONS OF THE ATTRIBUTES
ACCOUNTABILITY
DESCRIPTION
EXAMPLES AND CONSIDERATIONS
Assigns explicit responsibility from the AA/RA
through all subordinate levels of management
for day-to-day delivery and oversight of each:
-- environmental program;
-- management, administrative and financial
function;
multi- and cross-media initiative; and
- strategic priority, & implementation of the
Agency's Strategic Plan.
Ensures responsibility is clearly established for:
-- national program consistency (including
implementation, use, and enforcement of
national policies, regulations, & standards
for media programs, multi-media programs,
the Strategic Plan and other initiatives);
- signing off on grants, permits, MOUs,
Administrative Orders, etc.
- reaching agreement with HQ & Regions on
priorities;
- setting up state and tribal programs, and
performing oversight.
Designation of knowledgeable/credible program
contact who has real authority and control over
resources to:
make decisions and speak for the
Headquarters or Regional program;
-- work with HQ & Regions on policies,
planning, budgeting, managing, evaluating
program activities;
ensure program work "gets done" &
national goals pursued.
Contact at Division director level for major
media programs in the Regions with designated
mid- and lower-level contacts for routine
interaction.
Offices account for and report FTE & base
allocation, and PRO & AC&C usage, by program
element.
A-9
FINAL 11/21/94 REVISION
-------
REINVENTING EPA
Appendix A
COMMUNICATION AND COORDINATION
DESCRIPTION
EXAMPLES AND CONSIDERATIONS
Clearly shows two-way communication
channels to:
- provide for communication among
customers and stakeholders, and regular
coordination among HQ and Regions;
- ensure customers and stakeholders know
whom to contact & can get to "the right
people" as quickly as possible;
-- promote routine business occurring simply;
- facilitate teamwork, and expeditious
coordination of work, whether media-
specific or mu!ti-/cross-media.
Infrastructure in place to develop a coordinated
response to Congressional, OMB, HQ, lead
Region, and external requests for information,
such, as:
- FTE and AC&C estimates and justifications
for environmental program budgets;
-- reports required by statute, OMB, or the Hill;
-- public requests for information on EPA
initiatives, such as the Common Sense
Initiative.
CUSTOMER FOCUS
DESCRIPTION
EXAMPLES AND CONSIDERATIONS
Identifies specific key customers, stakeholders,
and partners, such as:
- internal: the Administrator, HQ and Regional
Offices, employees, and unions;
- external: public. Congress, other Federal
agencies, states, tribes, localities, other
countries, media, enviros, and industry.
Describes how the proposed organization will:
- serve customers/stakeholders better and/or
lead to better environmental protection;
- lead to better customer participation,
understanding, and service.
Summary of problems/issues identified in
discussions with customers, stakeholders, and
partners -- including unions and all affected EPA
offices.
Documented collaboration with customers,
stakeholders, and partners in developing the
proposed reorganization.
Explanation of how the organization will
maintain objective focus on key customers,
stakeholders, and partners.
_L
A-10
FINAL 11/21/94 REVISION
-------
REINVENTING EPA
Appendix A
INTEGRITY, EFFICIENCY, AND EFFECTIVENESS
DESCRIPTION
EXAMPLES AND CONSIDERATIONS
Describes clearly how the:
-- efficiency & effectiveness of EPA programs,
functions, and services will be improved;
-- integrity of environmental programs and
stewardship of resources (human, financial,
information, material, etc.) will be protected;
-- important but easily overshadowed
programs, like small (Eg/UST; pesticides;
radon), or vulnerable or sensitive (Eg/105
grants; StPs) programs have critical mass for
maintaining expertise, effectiveness,
presence in state and other relations, etc.;
- Senior Resource Official will carry out that
role across his/her HQ Office or Region, and
with counterparts in HQ and the Regions.
Activities for which close coordination is critical
to assure quality, speed, or volume should be
assigned together.
Offices account for and report FTE & base
allocation, and PRO & AC&C usage, by program
element.
MEASUREMENT AND EVALUATION
DESCRIPTION
EXAMPLES AND CONSIDERATIONS
Identifies success measures, and outlines how
the office will evaluate overall effectiveness in:
- meeting goals and achieving environmental
results more efficiently and effectively;
- better serving customers and stakeholders;
-- improving management of programs and
resources;
-- developing & communicating environmental
program goals, indicators, & results into
annual feedback process;
-- identifying priorities unique to that HQ or
Regional Office, and describing how they
would work in that organization, such as
hard rock mining in Region 8.
Implementation plans lay out baseline,
milestones, & schedule for evaluating
effectiveness in:
-- meeting the reinvention/reorganization
attributes;
meeting customer needs & sustaining
customer focus;
- fulfilling statutory mandates;
-- pursuing the EPA Strategic Plan, GPRA-
required performance plans, and other
tactical plans.
A-11
FINAL 11/21/94 REVISION
-------
REINVENTING EPA
Appendix A
REINVENTION AND STREAMLINING
DESCRIPTION
EXAMPLES AND CONSIDERATIONS
Presents an organizational framework that
demonstrates:
- enhanced flexibility, adaptability, and
responsiveness in accommodating change &
emerging priorities;
-- change from multi-layered review and
control to empowered employees who are
accountable for results;
redefined management roles emphasizing
coaching, mentoring, and removing barriers
to employee productivity and creativity;
-- more efficient operational processes;
-- reduced overhead, and increased
productivity in protecting health and the
environment;
-- greater opportunities for cooperation and
teamwork within the office, and with EPA
offices & external customers;
- better management of all programs and
intersecting priorities ("matrix
management");
strengthening delivery of service or value;
-- progress toward creating a working
environment that places a high value on
workforce and cultural diversity;
-- progress toward enhancing the HQ/Regional
working relationship.
Change from a hierarchical organization to a
flattened organization, with an employee-
supervisor ratio of 11:1.
Fewer managers between those doing the work
and the decision-makers.
Collaboration with and concurrence from
unions, all affected EPA offices, and Congress
when necessary, on the proposed
reorganization.
Unnecessary layers of review and oversight
eliminated while maintaining appropriate levels
of review for "complex, technical, or volatile
jobs."
Reduction in number 01 deputies, special
assistants, and "administrative control"
positions (personnel, budget, etc.)
Flexibility to assemble ad hoc teams -
comprised of HQ, Regional, and state
representatives - for a finite period of time to
deal with issues such as stormwater permitting
problems.
Establish a diversity strategy that includes:
building a diverse workforce and assure that the
Agency's positions of influence reflect diversity;
monitoring cultural diversity activities and
indicators; and meeting workforce and cultural
diversity goals.
A-12
FINAL 11/21/94 REVISION
-------
REINVENTING EPA
Appendix A
REINVENTION
IMPLEMENTATION PLANS
Introduction-Inclusive Process
Shared Vision and Values
Customer Focus
Diversity
Working Collaboratively
Empowerment
Teams
Management Behavior
Organizational Design
Reducing Organizational Layers
1:11 Supervisor-to-Employee Ratio
' Hdqters/Admin Staff Redeployment
Flexibility
Attributes
Evaluation
Composite Milestone Chart
Conclusion
Reorganization Proposals ...
must be submitted to the Management and
Organization Division, and may be submitted
at any time; proposals should consider
Reinvention criteria so that unnecessary
reorganization is prevented.
"Reinvention Implementation Plans"...
are comprehensive. One section of the Plan
includes discussion of the organization's
capability to meet specific reinvention goals,
and may describe a planned reorganization;
the actual Reorganization Proposal should
not be submitted in the Plan.
REORGANIZATION PROPOSALS
REQUEST FOR CHANGE
IN ORGANIZATION
NEED FOR CHANGE
TITLE OF UNITS AFFECTED
CONCISE STATEMENT EXPLAINING
CHANGE
ATTACHMENTS
Impact on personnel &
administrative systems
Benefits and impacts on program
Organization charts & functional
statements
Staffing patterns
EPA FORM 1110.1
A-13
FINAL 11/21/94 REVISION
-------
REINVENTING EPA Appendix B
Resources to Support EPA Reinvention
This appendix provides a listing of resources available to the EPA for its
reinvention efforts. The "Summary of Educational Resources to Support EPA
Reinvention" is an excerpt from the document: "EPA Reinvention - Educational
Resources" prepared by the Quality Advisory Group (QAG), which contains more
detailed information on the resources listed here. They may be contacted at 260-
6241 for copies of that report. Also contained in this appendix is a brief listing of
some of the reinvention tools provided by the Agency. For additional information on
these reinvention tools, call 260-4467.
Reinvention Tools: Update and Status
Multiple Career Path Guide: This tool will provide guidance on the key elements
of non-supervisory work at the senior grades in positions across the agency. It will
include standardized positions descriptions that organizations can use if they desire,
although other standardized approaches to "p.d's" will also be included. The guidance
lays the foundation for delegated classification authority at the agency. It also
provides a key link to the existing personnel regulations for those employee groups
working on career development guidance for non-supervisory staff at the senior
grades.
Status: Will be completed on schedule in Fall 1984.
Inventory of Organizational Development Consultants: Key to the transition to a
reinvented organization will the movement of about 1300 current supervisors into
non-supervisory positions. This issue, in addition to others that will arise during the
reinvention process, may require the assistance of organizational development/change
expertise. This inventory will make information on such consultants available.
Information on procuring the expertise will also be included.
Status: Will be issued in Fall, 1994.
Guidance on Moving Supervisors to Non-Supervisory Positions: Key decisions recently
issued by the Merit Systems Protection Board may have implications for the
movement of managers to non-supervisory positions. While it is not expected that
these decisions will impede the transition, it is important that senior management
receive legally and technically sound guidance.
Status: OHRM and OGC have partnered to jointly consult with 0PM on this issue.
OGC/OHRM joint guidance to be issued.
B-1
-------
REINVENTING EPA
Appendix B
Summary of Educational Resources to Support EPA Reinvention
Tonic. Subtonic and Resource Description Resource Contact
A.
1.
2.
3.
4.
5.
6.
B.
1.
2.
3.
4.
5.
C.
1.
2.
3.
4.
5.
QUALITY
Concepts/Problem Solving Tools
EPA Quality Course
Introduction to Quality
Facilitator Course
Process Improvement Toolbox
Memory Jogger Plus +
Quality Action Team Facilitators
Reengineering
Business Process Reengineering
Reengineering Courses (assorted)
Reengineering: Basic Concepts
Reengineering the Corporation
Reengineering Team Facilitators
Customer Orientation
EPA Quality Course
Putting Customers First
Customer Service Courses (assorted)
Customer Service
Books (assorted)
Type
Workshop
Workshop
Workshop
Booklet
Book
Consulting
Workshop
Workshops
Briefing
Book
Consulting
Workshop
Workshop
Workshops
Workshop
Books
260-6241
260-6241
260-6241
260-6241
260-6241
260-6241
260-6241
260-3297
260-6241
260-6241
260-6241
260-6241
260-6241
260-6241
260-3297
260-6241
B-2
-------
REINVENTING EPA
D.
1.
2.
A.
1.
2.
3.
4.
5.
A.
1.
2.
3.
4.
5.
A.
1.
2.
3.
Tonic. Subtopic and Resource Description
Benchmarking
Benchmarking Orientation
Resource
Type
Workshop
Benchmarking Books (assorted) Books
LABOR-MANAGEMENT RELATIONS
General
Labor-Mgmt. Relations for EPA
Supervisors and Managers
Negotiations and ADR for Supervisors
and Managers
Impact of E.O. 12871 on EPA Labor-
Management Relations
ADR in EPA Labor Relations
ADR Practitioners
VALUING DIVERSITY
General
Cultural Diversity Awareness Seminar
Cultural Diversity Awareness Course
Cultural Diversity Courses
Cultural Diversity Train-the-Trainer
Fostering Diversity Seminar
CHANGE MANAGEMENT
Organizational Change
Communicating Change Initiatives
Establishing Performance Expectations
Exec. Forum on Environmental Leadership
Workshop
Workshop
Briefing
Booklet
Consulting
Workshop
Workshop
Workshops
Workshop
Workshop
Workshop
Workshop
Workshop
Appendix B
Contact
260-6241
260-6241
260-4467
260-4467
260-4467
260-4467
260-6647
260-3297
260-3297
260-3297
260-3297
260-0523
260-0523
260-0523
260-0523
B-3
-------
REINVENTING EPA
4.
5.
6.
7.
8.
9.
10.
a.
b.
c.
d.
e.
f.
g-
11.
12.
13.
14.
15.
16.
17.
Topic. Subtooic and Resource Description
Framework for Supervisory Leadership
Fostering Improvement Through
Innovation
Keys to Managerial Leadership
Learning Strategies
Managing Change
Managing Organizational Change
OPM Exec./Mgmt. Development Programs
Alternative Dispute Resolution
Federal Executive Institute Res.
Government Performance and Results
Management Assessment Program
Org. Transformation in the Public Sector
Reinventing the Organization
Seminar for New Managers
Org. Change Courses(assorted)
EPA Institute Learning Lab Facility
Org. Change Audio Self-Learning
Programs
Org. Change Books
EPA Rotational Assignments
Intergovernmental Personnel Act
Assessment Consultation, Briefing and/or .
Resource
Type
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshops
Learning Lab
Audio Tapes
Books
Rotation
Rotation
Consulting
Appendix B
Contact
260-0523
260-0523
260-0523
260-3297
260-0523
260-3297
260-0523
260-0523
260-0523
260-0523
260-0523
260-0523
260-0523
260-0523
260-3297
260-0523
260-0523
Individual
Managers
260-0523
260-0523
Intervention
B-4
-------
REINVENTING EPA
18.
B.
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
Tonic, Subtopic and Resource Description
Mgmt. Development Consultation,
Briefing and/or Intervention
Participation/ Teamwork
A.B.C.D.-Always Comfortable Deciding
Building Effective Teams
Coaching for Optimal Performance
The Complete Facilitator
Decide to Decide: When & How to Do it
Developing Job Skills
Getting Things Done in the Bureaucracy
Myers-Briggs Type Indicator
Resolving Team Conflict
Teamwork: Managing Change Together
Teamwork Courses (assorted)
Team Learning Center
Teamwork Related Computer- based
Training-Communicating with Style
Interpersonal Skills Courseware
Teamwork Audio Self-Learning Programs
Teamwork/TQM Books
Assessment Consultation, Briefing and/or
Resource
Type
Consulting
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshops
Learning Lab
Computer-
Based
Computer-
Based
Audio Tapes
Books
Consulting
Appendix B
Contact
260-0523
260-3297
260-3297
260-0523
260-3297
260-3297
260-0523
260-3297
260-3297
260-0523
260-3297
260-0523
260-3297
260-0523
260-3297
260-0523
260-0523
260-0523
Intervention
18.
Our Team and My Teammates - Survey
Consulting
260-0523
TOPIC. Subtopic and Resource Description
Resource
Contact
B-5
-------
REINVENTING EPA
Appendix B
c.
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
a.
b.
c.
16.
17.
Shifting Roles of Management
Coaching
Coaching for Optimal Performance
Conducting Change Initiative Meetings
Establishing Performance Expectations
Exec. Forum on Environmental Leadership
Facilitation Skills
Focus 2000: New Directions for leaders
Fostering Improvement through
Innovation
Framework for Supervisory Leadership
Getting Your Ideas Across
Keys to Managerial Leadership
Leadership Orientation
Managing Former Peers
Mgmt. or Leadership Skills Assessment
OPM Exec. /Mgmt. Development Programs
Executive Development Seminar
Management Development Seminar
Seminar on Managerial Competencies
Resolving Conflicts
Understanding Supervision
Tonic. Subtooic and Resource DescriDtion
Type
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Workshop
Res.
Workshop
Res.
Workshop
Res.
Workshop
Workshop
Workshop
Resource
260-3297
260-0523
260-0523
260-0523
260-0523
260-3297
260-3297
260-0523
260-0523
260-0523
260-0523
260-3297
260-3297
260-0523
260-0523
260-0523
260-0523
260-0523
260-0523
Contact
B-6
-------
REINVENTING EPA
Appendix B
18.
19.
20.
21.
22.
23.
D.
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
Shifting Roles of Mgmt. (assorted
courses)
The Changing Role of Managers
Shifting Role of Management
Management Skills for Project Managers
Principles of Project Mgmt.
Shifting Role of Mgt.
Personal Change
Career Development from Start to Finish
Career Enhancement Orientation
Looking Glass Workshop
Self-Directed Career Planning
Personal Change Courses (assorted)
Personal Change Computer-Based
Training - Time Management Assessment
Profile
Personal Change Self-Learning Programs
Beyond Words: Reading, Writing and
Math
Reading and Writing Enhancement
Creating Your Individual Development
Plan
Personal Change Books
Career Enhancement Program
Certificate Program for Secretaries
Type
Workshops
Briefing
Audio Tapes
Video Tapes
Video Tapes
Books
Workshop
Workshop
Workshop
Workshop
Workshops
Computer-
Based
Audio-Tapes
Videos
Videos
Booklet
Books
Development
Development
260-0523
260-0523
260-0523
260-3297
260-3297
260-0523
260-3297
260-3297
260-3297
260-3297
260-0523
260-0523
260-0523
260-3297
260-3297
260-0523
260-0523
260-3297
260-3297
Topic. Subtopic and Resource Description
Resource
Contact
B-7
-------
REINVENTING EPA Appendix B
14.
15.
16.
17.
18.
19.
Executive Potential Program
Goalsetters Reaching for Opportunities
Greater Leadership Opportunities
Howard Univ. Env. Specialty Program
Women's Executive Leadership Program
Career Development
Type
Development
Development
Development
Development
Development
Consulting
260-3297
260-3297
260-3297
260-3297
260-3297
260-0523
Workshop/Intervention
Contacts
If you have questions which impact on:
Labor-Management Relations, contact your labor Relations Advisor, or utilize the labor-
management clearing house, staffed by the Executive Secretariat of the National
Partnership Council; for more information, contact Megan DeLamar at (202) 606-1932
or Doug Walker at (202) 606-1479.
Workforce Planning and Human Resources, contact the Office of Human Resources
at (202) 260-4467.
Focusing on the Customer, contact the Customer Service Development Team at (202)
260-8079.
Organization. Management, or Implementation Plans, contact the Management and
Organization Division at (202) 260-5000.
B-8
-------
REINVENTING EPA Appendix B
Written Materials
"Reinventing EPA: Stronger Environmental Protection through Empowered
Employees."EPA's Streamlining Plan to the Office of
Management and Budget, June 30, 1994.
t
Vision and Values
Keston, Joan B. "Dimensions of Excellence: Changing Organizational
Culture."The Public Manager. Fall 1992.
Wheatley, Margaret J. Leadership and the New Science. San
Francisco:Berrett-Koehler Publishers, Inc., 1994.
Customer Focus
Byham, William C. and Jeff Cox; Zapp. the Lightening of Empowerment: first
Ballantine Books 1988.
Hunt, V. Daniel; Quality in America-How to Implement A Competetive
Quality Program: Technology Research Corporation, 1992.
Wright, Furrow; Organizational Transformation through a Customer Focused
Human Resources alignment Project. Environmental Protection Agency,
presented at 1993 FQI National Federal Quality Conference-Proceedings.
1992.
Diversity
Environmental Protection Agency, Office of Administration and Resources
Management. Cultural Diversity Challenges for EPAA
Strategy for Bold Action. Diversity Task Force, November
1992.
Jamieson, David, and Julie O'Mara; Managing Workforce 2000-
Gaininq the Diversity Advantage: Jossey-Bass Publishers, 1991.
Working Collaboratively
Belasco, James A, and Ralph C. Stayer. Flight of the Buffalo-Soaring to
Excellence. Learning to Let Employees Lead: Warner Books, 1993.
Block, Peter. The Empowered Manager. San Francisco: Jossey-Bass
Publishers. 1987.
B-9
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REINVENTING EPA Appendix B
"Empowerment." Covey Leadership Center, Inc. 1993, pp. 53.
EPA Human Resources Council. "White Paper on the Framework for
Workforce Development." 1994.
Hill, Norman C. How to Increase Employee Competence. New York: McGraw-
Hill Book Company. 1984.
Huey, John. "The New Post-Heroic Leadership. "Fortune. February 21, 1994.
42 + .
Katzenbach, Jon R. and Douglas K. Smith. "The Discipline of Teams." Harvard
Business Review. March-April 1993. 111-120.
Kouzes, James M, and Barry Z. Posner. The Leadership Challenge-How to Get
Extraordinary Things Done in Organizations: Jossey-Bass
Publishers, 1991.
OHRM series of publications on teams.
Pinchot, Gifford. Intraoreneurina. New York:Harper & Row. 1985.
Rigg, Michael. "Vision and Value: Keys to Initiating Organizational Change."
Industrial Engineering. June 192, 12-13.
Shearer, Beth and Robert Fagin. "Empowerment and Accountability." Training
and Development Journal. April 1991, pp. 26-31.
Designing Organizations with Appropriate Oversight
"Beyond Hierarchy: The Search for High Performance." Galagan, Training and
Development. August 1992, pp. 21-35.
Byrne, John A. "The Horizontal Corporation." Business Week. December 20,
1993.
Jacque, Elliot. "In Praise of Hierarchy." Harvard Business Review. January-
February 1990, pp. 127-132.
"The Horizontal Corporation." Business Week. December 20, 1993, pp. 76-81.
"Transforming Organizational Structures. "Accompanying Report of the National
Performance Review, September 1993.
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REINVENTING EPA
Appendix C
OMB Definitions of Supervisor, Administrative, and
"Headquarters" Personnel for Redeployment
(Revised August 19, 1994)
Supervisors
Administrative
Employees, including any SES, identified as a supervisor or
manager in FPM letter 298-46 [Oct. 26, 1993] and reported in
CPDF codes 1, 2, or 3.
Personnel Specialists: Employees that perform personnel
functions, such as staffing, classification, position management,
or labor relations. NPR counted people in the 200 series (except
204 and 205).
Budget Specialists: Employees that perform budget functions,
such as program or budget development, review, or analysis. NPR
counted people in the 560 and 561 series.
Accountants and Auditors: Employees that perform accounting
and auditing functions, including financial and management audits.
NPR counted people in the 500 series except 512, 526, 545,
560, 561, 570, 592, and 593.
Acquisition Specialists: Employees in acquisition and procurement
functions. NPR counted employees in the following series: 1101,
1102, 1103, 1105, 1106, 1150, and 1910.
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REINVENTING EPA Appendix C
Headquarters Staff
Anyone who works in the following functions or organizations:
NOTE: This is a functional definition. Some people who work in
Washington are not in headquarters and some headquarters
organizations are not in Washington. For instance, regional or
district offices are usually headquarters organizations.]
Management Headquarters and Support Functions: Those
functions and the direct support integral to their performance that
are involved in the management of programs and/or operations of
a department or its components.
Management Headquarters and Headquarters Support Activities:
Organizations where more than 25% of the work of the
organization is involved in management or direct support functions.
- Management: Refers to exercising oversight, direction, or
control of subordinate organizations or units through: [1]
developing or issuing policy guidance; [2] reviewing or
evaluating program performance; [3] allocating and
distributing resources; or, [4] conducting mid- or long-range
planning, programming, or budgeting.
- Direct Support: Refers to professional, technical,
administrative, or logistical support that is performed in, or
supplied to, a management headquarters and is essential to
its operation. Direct support includes both staff support
(such as providing policy or program analysis or formulating
policies, plans, and programs for a management
headquarters) and operating support (such as secretarial,
editorial, or information technology services). Direct
support does not include specific products or technical or
operating services that are provided on a department-wide
or component-wide basis (such as payroll services) or
operating support provided by a host unit to all tenant
organizations.
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REINVENTING EPA Appendix C
EXECUTIVE OFFICE OF THE PRESIDENT
OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. O.C. 2OSO3
THE DEPUTY DIRECTOR AugUSt 19, 1994
MEMORANDUM FOR THE HEADS OF DEPARTMENTS AND MAJOR AGENCIES
FROM: Alice M.
Acting Di
SUBJECT: Streamlining Plans
The Vice President recently reiterated the great interest of the Administration in the
development of streamlining plans and the importance of efforts to improve them. Review of
the streamlining plans nvfll be an extremely important element of the budget process.
Many of you .already have had discussions with OMB staff about your June 30
streamlining plans and the FY 1996 budget, and this dialogue with all agencies will continue.
As you know, your FY 1996 budget request is due* on September 9 and must include as much
streamlining information as possible. It is especially important that your budget request contain
the full details of your plans for FY 1996 with the milestones of actions to meet the overall
workforce restructuring and FTE targets in OMB's April 21,1994, planning guidance (attached).
To reinforce these efforts, the President's Management Council (PMC) recommitted itself
to the goal of restructuring the government and will be especially active in working with OMB
and helping agencies improve their plans in accordance with the April 21 guidance. The PMC
has committed its., agencies to submit complete, improved streamlining plans to OMB not later
than October 3. These complete plans will focus greater attention on restructuring of the agency
organization and work processes and will reflect the importance of related reductions in the
number of supervisors, headquarters, and support staff, as recommended by the National
Performance Review (NPR). (The NPR's overall goals include a doubling of the span of control
of supervisors from 1:7 to 1:15 over the next five years and a decrease of 50% of those
performing headquarters functions.)
In response to the PMC's request, OMB has further refined the headquarters definitions
in Attachment D of the April 21 guidance. (Revision attached.) Those agencies that can not
meet the NPR goals in this area should address this matter in their plans. Within the context
of the April 21 FTE guidance, each agency should display the FTE reductions it \vill take as a
result of restructuring separately from any additions due to new Presidential investments. The
plans also will describe the relationship of the agency's restructuring to other Administration
priorities, including improved customer service.
Attachment
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REINVENTING EPA Appendix D
Memorandum Describing Agreement Between EPA and
Headquarters Unions Relating to Labor Participation
in Reinvention Activities
The attached memorandum is an example of the new partnerships being forged in
labor and management relationships. This agreement discusses union representation
in Headquarters reinvention activities that involve the establishment of committees.
If you have questions about how this agreement affects your organization, or about
any other aspect of labor partnerships, call your Labor Relations Representative.
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Reinventing EPA Appendix D
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
' WASHINGTON. D.C. 20460
OFFCEOF
MMM6TIUTION
AMDRESOMCCS
MANAGEMENT
MEMORANDUM '
SUBJECT: Streamlining and Reorganization Committees
FROM: Jonathan Z. Cannea^C^C^Z^X
Assistant Administrator /\
TO: Assistant Administrators
Associate Administrators
../ General Counsel .
Inspector General
.'The purpose of this memorandum is to define 'the procedures by which Streamlining
and Reorganization Committees are established in Headquarters organizations of EPA in
conformity with the principles of labor-management partnership.
Executive Order 12871 requires Federal agencies to establish Partnership Councils at
appropriate levels to help reform government. The Order also requires agencies to involve
employees arid their representatives as full partners. The purpose of this Partnership is to
reform government consistent with the recommendations of the National Performance Review
to bettsf serve the customers and the Agency's mission.
EPA is committed to labor-management partnership and has established Partnership
Councils at the National level and at Headquarters; Representatives from the American
Federation of Government Employees and the National Federation of Federal Employees also
sit on EPA's Senior Leadership Council's Management Committee. The SLC's Management
Committee develops policy recommendations and advises the Administrator on issues of
strategic importance, including streamlining. ' . '<
Several Headquarters organizations are moving to establish work groups on
.streamlining and reorganizing. In forming workgroups, organizations need-to integrate the
Executive Order's partnership mandates with the streamlining effort as follows: regarding
establishment of streamlining committees:
Recycled/Recyclable
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Reinventing EPA Appendix D
Management and the unions will jointly announce opening of nominations for
service on the committee, its size, scope of duties, anticipated lifetime, etc.
Nominations may be made by anyone for either manager or non-manager positions on
the committee.
Each union will name a representative to the committee. Management will appoint
an equal number of management representatives to the committee.
Management and the unions will seek consensus on the composition of the rest of
the committee. If consensus is not reached, management will make the final decision
on the committee's make-up. The number of management representatives and
bargaining unit members will be equal.
Once formed, the committee will advise management on streamlining,issues. Because
workgroup committees at this stage in the evolution of the partnership .are advisory to
management, whatever management decides may be subject to collective bargaining by the
appropriate unions prior to implementation:
The process just described stops short of a fully streamlined labor-management
partnership the goal toward which EPA management and its labor unions are striving. As
experience is gained in operating streamlining and reorganizing committees, management and
the unions expect to move to a fully streamlined partnership in which similar workgroup
committees will be empowered to make binding decisions which would not be subject to
further negotiations. For a copy of a model streamlined committee that is empowered to
make binding decisions, please contact OHRM's Labor Management Relations Office, AFGE
or NFFE.
We know that many EPA Headquarters organizational units have established their
streamlining and reorganizing workgroups prior to the date of this guidance. You should
contact each Union about union representation on such workgroups where appropriate.
cc: Regional Administrators
Assistant Regional Administrators
U.S. Environmental Protection Agency'
Region 5, Library (PL-12J)
77 West Jackson Boulevard, 12th Floor
Chicago, IL 60604-3590
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