UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

  °*T£  MAR 2 6 1979

SUBJECT  Supervisor's  Guide


  FROM  Personnel  Officer


    TO  All Supervisors


        The attached  handbook provides  general  guidance in  the area  of personnel
        management.   Issuance was delayed  to correct  errors in the text as  well
        as add applicable Regional guidance  (green  sheets).  You  should be  aware
        that  the handbook principally represents  agencywide guidance and Regional
        procedures may vary.

        In view of these possible variances  and of  the  changes forthcoming  under
        the Civil  Service Reform Act. I recommend you consult the  Personnel  Office
        before proceeding on  any substantive personnel  actions.

        I will send you  copies of any changes in  the  handbook to  enable you to
        have  a current guide  available.
 E PA FOI-. I.MO ft fRrv. 1

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                            FOREWORD
Personnel Management - always one of the most important
responsibilities of a supervisor - has become Increasingly
technical and complex.  The Federal manager today functions
as part of an open process governed by a multiplicity of
public policies, laws and regulations.  To carry out their
personnel management responsibilities well, supervisors must
have a clear and full understanding of these policies, laws
and regulations.

This handbook has been prepared as a guide for supervisors
to supplement other developmental experiences provided by
EPA by setting out in summary form the principal personnel
policies and practices affecting employee utilization and
management.

I urge you to review and use this handbook.  I believe that
you will find it informative and helpful in your activities
as a personnel manager.
                          E. T. Rhodes
                 Deputy Assistant Administrator
                       for Administration

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i- Introduction

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                             INTRODUCTION
The primary responsibility for personnel management in EPA rests with
those responsible for mission accomplishment.  The manager's substantive
program decisions directly affect and are affected by personnel manage-
ment considerations.  For example, program decisions are usually the
most significant determinants of the numbers, kinds, and skills of people
that will be needed by the organization during a given period of time and
at a given location.  The managers' administrative decisions concerning
organizational structure, delegations of authority, work methods, and work
flow also have an impact, both on the effective accomplishment of the basic
missions and on the economy and productivity with which manpower resources
are utilized.  Finally, specific personnel management decisions themselves,
in such areas as labor relations, recruiting and selection of employees,
training and development, motivation, and separation of an employee, deter-
mine greatly the extent to which the Agency's personnel management objec-
tives are achieved.

The first-line supervisor also has important personnel management responsi-
bilities.  The person-to-person relationships that occur at the worksite
are of critical importance.  The supervisor is the member of the management
team who through skill in communication, leadership, human relations,
motivation, evaluation of performance, and bilateral dealings with employee
representatives, makes higher level management decisions and policies
effective at the working level.  The criteria of good supervision, in this
context, are:

   (a)  Utilizing manpower economically and effectively by defining duties
clearly, selecting the performers of the duties, and making assignments
among the performers.

   (b)  Making objective evaluations of the quality of individual perfor-
mance, based on valid performance measurements and sound judgment;
communicating these evaluations to the employees concerned; and using the
evaluations to take corrective action in accordance with applicable
personnel management policy, including the initiation of appropriate
position changes, training, separations, or other indicated action.

   (c)  Developing and motivating employees to reach their fullest
potential and granting or recommending recognition for superior work or
innovative contributions.

   (d)  Dealing with all employees in a fair and equitable manner and in
accordance with established policy, including the terms of negotiated
agreements.

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   (e)  Keeping all employees fully informed of their role in accomplishing
the Agency's mission; of public policy and management decisions affecting
their employment and mission accomplishment; and of their rights, privileges,
and obligations as Government employees.

   (f)  Dealing in good faith on a bilateral basis with local union
officials, including shop stewards, on matters relating to working con-
ditions, grievances, and the application of personnel policies.

Please note that this guide, which will be periodically updated, has been
issued to you because of the supervisory position you occupy.  You should
pass it on to your successor in the event you leave your present position.

REMEMBER ALWAYS THAT THE SOURCE OF THE MOST ACCURATE AND CURRENT INFORMATION
MUST REMAIN YOUR EPA ORDERS AND MANUALS AND/OR YOUR PERSONNEL SPECIALIST.

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                           TABLE OF CONTENTS


i- Introduction

Chapter I- POSITION MANAGEMENT AND CLASSIFICATION

   Subchapter 1- Position Management

     1-1- Manpower Planning and Utilization
     1-2- Position Management

   Subchapter 2- Position Classification and Pay

     2-1- Position Classification
     2-2- Pay-General Schedule

Chapter II- STAFFING

   Subchapter 1- General

     1-1- Employment Ceilings
     1-2- Recruitment
     1-3- Student Employment and Cooperative Education
     1-4- Selective Placement Programs

   Subchapter 2- Selection

     2-1- Career Conditional Appointments
     2-2- Excepted Service Appointments
     2-3- Expert and Consultant Appointments
     2-4- Reserved

   Subchapter 3- Placement

     3-1- Details
     3-2- Reassignments
     3-3- Promotions, Merit Promotion Procedures

   Subchapter 4- Reduction-in-Force

Chapter III- EMPLOYEE RELATIONS

   Subchapter 1- General

     1-1- Employee Responsibilities and Conduct
     1-2- Discipline
                                 in

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   Subchapter 2- Grievances

     2-1- Agency Grievance Procedures
     2-2- Negotiated Grievance Procedures

   Subchapter 3- Adverse Actions and Appeal Procedures

   Subchapter 4- Employee Rights

     4-1- FLSA
     4-2- Freedom of Information Act
     4-3- Privacy Act

Chapter IV- EMPLOYEE BENEFITS

   Subchapter 1- Absence and Leave

   Subchapter 2- Insurance

     2-1- Health Benefits Program
     2-2- Group Life Insurance

Subchapter 3- Retirement

Chapter V- EMPLOYEE SERVICES

   Subchapter 1- Alcohol and Drug Abuse Program

   Subchapter 2- Injury Compensation

   Subchapter 3- Occupational Health and Safety Program

Chapter VI- EMPLOYEE DEVELOPMENT AND EVALUATION

   Subchapter 1- Performance Evaluation and Elating

   Subchapter 2- Training

   Subchapter 3- Executive Development

   Subchapter 4- Awards

Chapter VII- LABOR MANAGEMENT RELATIONS

   Subchapter 1- Labor Management Relations

Chapter VIII- EQUAL EMPLOYMENT OPPORTUNITY

   Subchapter 1- Equal Employment Opportunity

   Subchapter 2- Upward Mobility

*Please Note - FPM's may be reviewed in the Personnel Office

                                 iv

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                         Supervisor's Handbook

                                 Index


                                                 CHAPT.     Subchapt.     Sec

                              (A)

Absence and Leave	IV         1
Acceptable Level of Competence	I          2            2
Accrual of Leave-Annual, Sick	IV         2            2
Advance Leave, Use of	IV         1
Adverse Actions	Ill        3
Affirmative Actions	VIII       1
Age, Discriminations	VIII       1
Agreement, Labor	VII        1
Alcohol and Drug Abuse Program	V          1
Annuities	.'	IV         3
Appeal Procedures	Ill        3
Area of Consideration	II         3            3
Awards, Incentive	VI         4

                              (B)

Back Pay	Ill        4            1
Bridge Position	VIII       2

                              (C)

Career Conditional Appointments	II         2            1
Ceiling Limitations	II         1            1
Civil Service Registers	II         1            2
Classification	I          2            1
Compensation	I          2            2
Compensatory Time	Ill        4            1
Complaints	Ill        2            1
                                                 VIII       1
Conduct of Employee	Ill        1            1
Confidential Statement
 of Employee Finances	II         2            3
Conflict of Interest	II         2            3
                                                 III        1            1
Consultants and Experts	II         2            3
Cooperative Education	II         I            1
                                                 II         I            3

                              (D)

Details	II         3            1
Demotion	Ill        1            2
                                                 III        3
Disability Benefits	IV         3
                                                 V          2
Discipline	Ill        1            2

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                                            CHAPT.      Subchapt .     Sec.

Discrimination Complaints ................... VIII        1
Drug Abuse .................................. V           1

                               (E)

Equal Employment Opportunity ................ VIII        1
Employee Responsibilities and
  Conduct ................................... Ill         1            1
Excepted Service Appointments ............... II          2            2
Executive Development ....................... VI          3
Experts ..................................... II          2            3
Exempt Employees ............................ Ill         4            1
Fair Labor Standards Act .................... Ill         4            1
Federal Employees Group Life Insurance ...... V           2            1
Federal Employees Health Benefits
  Program ................................... IV          2            2
Federal Junior Fellowship Program ........... II          1            3
Federal Summer Intern Programs .............. II          1            3
Federal Women's Program Coordinator ......... VIII        1
Freedom of Information Act .................. Ill         4            2

                               (G)

General Schedule ............................ I           2            2
Grievances .................................. Ill         2            1&2
                                (H)

Handicapped Employees	II          1            4
Health Insurance	IV          2            1
Health & Safety Program	V           3
Holiday Pay	I           2            2
Honor Awards	VI          4

                                (I)

Insurance
    Health	IV          2            1
    Group Life	IV          2            2
Injury Compensation	V           2
Incentive Awards	VI          4
Intermittent Employment	II          1            1
                                            II          2            3

                                (L)

Labor Management & Relations	VII         1
                                  VI

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                                            CHAPT.      Subchapt.    Sec.

Leave ....................................... IV          1
Life Insurance .............................. IV          2            2

                               (M)

Manpower Planning & Utilization ............. I           1            1
Merit Promotion Plan ........................ II          3            3

                               (N)

National Employment Center .................. II          1            2
Negotiated Grievance Procedure .............. Ill         2            2
Non-exempt Employees ..... ................ ... Ill         4            1
Non-Government Awards ....................... VI          4

                               (0)

Occupational Safety & Health ................ V           3
Other- than-Penoanent-Full-Time Ceiling ...... II          1            1
                                            II          2            3
Outside Employment .......................... Ill         1            1
Outstanding Ratings ......................... VI          1
Overtime .................................... I           2            2

                               (P)

Part-Time Employment ........................ II          1            1
Pay-General Schedule ........................ I           2            2
Pensions .................................... IV          3
Performance Evaluation ...................... VI          1
Permanent-Full-Time-Ceiling ................. II          1            1
Position Classification ..................... I           2            1
Position Description ........................ I           2            1
Position Management ......................... I           1            2
Privacy Act ................................. Ill         4            3
Probationary Period ......................... II          2            1
Promotion ................................... II          3            3
Quality  Step  Increases ...................... VI           4
                                            122

                                (R)

Reasslgnments. . ............................. II           3             3
Recruitment ................................. II           1             2
Reductlon-in-Force (RIF) .................... II           4
Registers  of  Eligibles. ..................... II           1             2
Reinstatement ............................... II           2             1
Removal ..................................... Ill         I             2
                                            III         3

                                  vii

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                                             CHAPT.      SubchapC.
Reprimands	..Ill        1
Retirement	IV         3
                             (S)

Satisfactory Rating	VI          1
Schedule A Appointments	II          2             2
Selective Placement Programs	*	II          1             4
Separation	Ill        1             2
                                             III        3
Shortage Category	I          1             1
Spanish-Speaking Coordinator.*....*....*.....VIII        1
Special Achievement Award	VI          4
Stay-in-School Campaign	II          1             3
Student Employment	*	II          1             3
Sugges tions	VI          4
Summer Employment & Cooperative Education....II          1             3
                                             II          1             1
Supervisor's Notes	Ill        4
Supervisory Training	VI          2
Suspension	Ill        1             1
                                             III

                             (T)

Target Position	VIII       2
Term Employment	II          1             1
Temporary Ceiling	II          1             1
Time-in-Grade	II          3             3
Training	VI          2
Travel Time	Ill        4             1
Trades & Labor Positions	*	I          2             I

                             (U)

Unsatisfactory Ratings	VI          I
Upward Mobility	VIII       2

                             (V)

Vacancies	II          1             2
                                             II

                             (W)

Waiver of Benefits	IV         2            2
Weekend  Work	Ill        4            1
Whit ten  Amendment	II         3            3
Within-Grade-Increase	I          2            2
Without  Compensation Employment	II         2            3
Work Study Program....,	II         I            3
Written  Warnings	Ill        1            2
                                   viii

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                    REGIONAL ORDERS
Chapter II - STAFFING                           Subchapter

   Cooperative Education Program                    1
   Conflicts of Interest                            2
   Career Promotion                                 3

Chapter III - EMPLOYEE RELATIONS

   Clearance Procedures                             1
   Communications Regarding Pending Litigations     3

Chapter IV - EMPLOYEE BENEFITS

   Approval of Advanced Leave                       1
   Leave Without Pay                                1
   Flexible Schedule                                4

Chapter VI - EMPLOYEE DEVELOPMENT & EVALUATION

   Employee Development and Training                2
   Training Advisory Committee                      2
   Executive Development Program                    3
   Employee Awards - EPA Bronze Medal
     for Commendable Service                        4
   Incentive Awards Program                         4
   Awards Advisory Committee                        4

Chapter VIII - EQUAL EMPLOYMENT OPPORTUNITY

   Upward Mobility                                  2

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Chapter I - POSITION MANAGE-
MENT AND CLASSIFICATION

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                                                        Chapter 1
                                                        Subchapter 1
                                                        Section 1-1
MANPOWER PLANNING AND UTILIZATION
Primary Sources             FPM Chapters 250, 571
                            EPA Position Management and Control Manual
Background

An integrated manpower planning program, designed to identify and
facilitate planning for the future skills and skills level requirements
necessary to effectively implement the Agency mission, is basic to sound
management.  The program should be designed to support and strengthen
related efforts, such as position management, staffing, training, career
development, and employee utilization.

Role of the Supervisor

Understand mission and goals and translate these into the most efficient
and effective organization and work process needed to reach them.

Design organizational structure in consonance with functions.

Role of the Servicing Personnel Office

In conjunction with other management components, provides technical support
in planning and organizing work and assisting management in structuring
their organization, functions, and tasks.

Assists managers in organization planning, i.e., aids management in
identifying overlapping duties, unnecessary levels of supervision, excess-
ively broad spans of control, and insufficient or unclear delegations of
authority.

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Ql.    WHAT DOES A SUPERVISOR NEED TO KNOW TO UTILIZE EFFECTIVE MANPOWER
       PLANNING?

 A.    The mission, goals, and objectives of EPA as well as Che Immediate
       organizational area of management.

       Functions for which responsible.

       How many and what kind of employees are needed to accomplish
       the work.

       Whether or not particular positions are needed.

       How the position should be organized.

       What duties and responsibilities should be assigned to individual
       positions.

Q2.    WHY HAVE A MANPOWER PLAN?

A.     To carry out public policy as expressed in laws, Executive Orders,
       regulations, or otherwise.

       To utilize manpower resources wisely, economically and cost
       effectively.

Q3.    WHAT IS MEANT BY MANPOWER UTILIZATION?

A.     Manpower management includes the determination of current manpower
       requirements, the analysis of current manpower resources, the fore-
       casting of future manpower requirements and resources, the assess-
       ment of current and projected imbalances between requirements and
       resources, and the development of manpower and personnel management
       action plans to bring about a more acceptable balance.

       It may also embrace the administration of manpower ceilings and
       other controls; the analysis of manpower factors in a planning-pro-
       gramming-budgeting system; the development of manpower information
       systems oriented toward the support of management decision-making.

       Other areas covered are:  position management, long-range staffing
       plans and standards, work load studies, long-range manpower develop-
       ment, and the integration of these functions into a comprehensive
       career system.

Q4.    WHO DETERMINES THE POSITIONS FOR WHICH A MANPOWER SHORTAGE EXISTS,
       SO THAT PAYMENT FOR TRAVEL AND TRANSPORTATION EXPENSES(FOR NEW
       APPOINTEES) MAY BE AUTHORIZED?

A.     The Civil Service Commission has responsibility for making these
       determinations.

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Q5.    WHICH POSITIONS ARE CONSIDERED IN A SHORTAGE CATEGORY?

A.     Positions for which a manpower shortage has been found for purposes
       of travel and transportation are listed in Appendix A to Federal
       Personnel Manual Chapter 571.

Q6.    HOW DOES EPA GET AN OCCUPATION OR POSITION INCLUDED IN THE
       MANPOWER SHORTAGE CATEGORY?

A.     The Personnel Management Division asks the Civil Service Commission
       to make a manpower shortage finding for any occupation or position
       for which it believes a shortage exists.

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                                                        Chapter 1
                                                        Subchapter 1
                                                        Section 1-2
POSITION MANAGEMENT
Primary Sources             FPM Chapter 312
                            EPA Position Management and Control Manual
                            Personnel Management Memoranda 312 Series
                            Personnel Management Notices 312 Series
                            EPA Position Management Handbook
Background

Position management is defined as the process of grouping duties and
responsibilities to form positions and grouping positions to form
organizations so as to accomplish the assigned mission as effectively
and economically as possible.

Greater emphasis on position management has arisen because of:

   0 Grade escalation in the Federal service which has led OMB to
require agencies to establish position management systems; and

   0 Findings of EPA and CSC surveys which indicate a need for such
systems within EPA.

Role of the Supervisor

To apply criteria of effective position management in deciding whether
to fill a vacant position, to change the duties and responsibilities
of a position, or to change the way work is carried out.

To review position structures at least annually for need of each position.

Role of the Servicing Personnel Office

To provide assistance to managers and supervisors in analyzing personnel
aspects of position structures.

To conduct annual review of positions in conjunction with managers and
supervisors and recommend improvements where appropriate.

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Ql.    HOW ARE POSITIONS DESIGNED?

A.     Supervisors design positions by grouping homogenous duties
       together wherever possible.  For example, professional engineering
       duties should be grouped together into a professional engineer
       position; subprofessional engineering duties should be grouped
       together into an engineering technician position.

Q2.    OF WHAT VALUE IS POSITION MANAGEMENT TO THE SUPERVISOR?

A.     Position management serves as the base from which the supervisor
       can more effectively exercise his personnel management responsi-
       bilities and keep all other related personnel programs in focus.

Q3.    WHAT POSITION MANAGEMENT STEPS SHOULD BE TAKEN WHEN A VACANCY
       OCCURS?

A.     The supervisor should ask these and other similar questions:

          0 Do I really need this position;

          0 Can these duties be absorbed in other positions;

          0 Do I need this position at this grade level;

          0 Can the duties of this position be re-engineered to achieve
            greater economy, e.g., elimination of professional or higher-
            graded duties; and

          0 Can I use this position for the Upward Mobility program?

Q4.    WHAT SHOULD BE DONE WHEN A NEW POSITION IS TO BE ESTABLISHED?

A.     The supervisor should look carefully at the requirements of the
       organization and consider these items before establishing the
       position:

          0 Are there any overlapping duties;

          0 Are the duty assignments consistent with the grade level
            requested;

          0 What effect will the position have on others in the organi-
            zation;

          0 Are responsibilities clearly defined;

          0 How does the position fit in with the organization's
            overall career program; and

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          0 If supervisory, would the position add to the supervisory
            ratio and would its creation comply with the Agency policy
            on establishing supervisory positions?

Q5.    ONCE A POSITION HAS BEEN ALLOCATED WHAT MOST THE SUPERVISOR DO
       TO HAVE IT ESTABLISHED?

A.     Prepare a Position Description (EPA Form 3150-1) describing the
       duties and responsibilities of the position to be established.

       Recommend title, duties and grade.

       Initiate a position action by completing the appropriate sections
       of the Standard Form 52(SF-52), Request for Personnel Action, and
       send it along with a Position Description to the personnel office
       for classification.

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                                                        Chapter 1
                                                        Subchapter 2
                                                        Section 2-1
POSITION CLASSIFICATION
Primary Sources             FPM Chapter 511
                            EPA Position Management and Control Manual
                            EPA Order 3150.1
                            EPA Position Classification Handbook
Background

Position classification is the orderly grouping of duties and responsi-
bilities in terms of series (kinds of work) and grades (levels of
difficulty).  These decisions form the basis for a number of other
personnel determinations, for management planning and for pay.  Following
are some of the matters facilitated by a sound, orderly, and accurate
classification program:

   0 Planning organizations;

   0 Budgeting for positions;

   c Establishing qualification requirements for hiring and promoting
     employees;

   0 Establishing performance standards;

   4 Providing substantially equal pay for equal work;

   0 Developing training plans;

   0 Assuring proper utilization of employees; and

   0 Conducting reductions in force.

The objectives of the position classification program are to:

   0 Establish and describe positions in a manner which will best serve
management's need for an economical and efficient position management
system;

   0 Evaluate and classify positions in accordance with official standards
and the principles and grade levels established by statute; and

     Respond to changes in operations and activities so as to assure
currency of descriptions and classifications.

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Maintenance of a current and accurate classification program requires
the continuing joint efforts of supervisors and employees.  They are
responsible for recognizing changes in jobs and seeing that job
descriptions adequately present the work being performed.

Role of the Supervisor

Supervisors are required to:

   0 Assign duties and responsibilities to subordinate employees so as
to establish an organizational structure which will most efficiently
and effectively accomplish the assigned mission;

   0 Prepare position descriptions and revise them as necessary so that
they accurately reflect the major duties and responsibilities assigned
to subordinate employees;

   0 Explain to their subordinates the contents of their position des-
criptions, brief them on the requirements of their positions, and inform
them of the basis upon which their positions are classified;

   0 Report all permanent changes in the major duties and responsibilities
assigned to their subordinate employees to the Servicing Personnel Officer
through appropriate administrative channels;

   0 Report all temporary changes in the assignments of their subordinate
employees to the Servicing Personnel Officer through appropriate adminis-
trative channels, provided these changes last more than thirty (30) days;

   0 Thoroughly review organizational work patterns before requesting
the upgrading of a position, in order to ascertain the necessity for
assigning duties at the higher grade level;

   0 Support the objectives and basic practices of the position classifi-
cation program and explain these to subordinate employees;

   0 Advise employees of their classification appeal rights; and

   0 Cooperate with the Servicing Personnel Officer in the overall position
classification process, including the development of position descriptions,
the conduct of desk audits, the performance of classification surveys, and
other related activities.

Role of the Servicing Personnel Office

Personnel officers are required to:

   0 Assure that positions are classified in accordance with applicable
position classification standards and guidelines;


                                    8

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   0 Provide counsel to employees, supervisors, and managers on the
operations and objectives of the position classification system and on
the appropriate laws, regulations, and standards governing the operations
of the system;

   0 Advise employees of their classification appeal rights; and

   0 Conduct an annual position classification survey of all positions
in cooperation with the appropriate supervisors and managers.

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Ql.    HOW DOES THE CLASSIFICATION SYSTEM WORK?

A.     In EPA, the classification of a position is decided on the basis
       of duties and responsibilities assigned to that position by
       management.  In turn, the classification of a position helps to
       determine the salary assigned to the employee who occupies that
       position.  The process or system for determining the classification
       of a position is known as Position Classification.  In EPA, we
       have two categories of positions to which this system applies:
       General Schedule and Trades and Labor.

Q2.    WHAT ARE GENERAL SCHEDULE POSITIONS?

A.     General Schedule positions, identified by the symbol GS, are those
       normally associated with professional, administrative, and clerical
       occupations, including engineers, scientists, accountants, secre-
       taries, clerk-typists, and the like, and are covered by chapter 51
       of Title 5 of the U.S. Code (formerly the Classification Act of 1949,
       as amended).  This law prescribes a "General Schedule" composed of -
       18 grades and describes, in very broad terms, the general level of
       difficulty, responsibility, and important characteristics of each
       grade.

Q3.    WHAT ARE TRADES AND LABOR POSITIONS?

A.     Trades and Labor positions, identified by the symbols WG (for non-
       supervisory) , WL (for leader), and WS (for supervisory), are those
       associated with trades and crafts, such as Electricians, Motor
       Vehicle Operators, Maintenance Mechanics, Laborers, and the like.
       (These positions were formerly known as Wage Board and are covered
       by Chapter 53 of Title 5 of the U.S. Code.)

Q4.    WHAT ARE THE STEPS IN CLASSIFYING POSITIONS?

A.     The position classification system is made up of  two important
       steps.  These are:

          0 The duties and responsibilities of each position must be
            decided upon by management and described in writing; and

          0 Each position must then be classified on the basis of the
            recorded duties and responsibilities that make up the position
            and the qualifications required to do the work.

Q5.    WHAT IS A POSITION DESCRIPTION?

A.     The duties and responsibilities of each position are described
       on an EPA form known as a Position Description, which is commonly
       called a job description or a job sheet.  Management, in deciding
       what these duties and responsibilities shall be, may change them,
       as necessary, to efficiently accomplish the work of the organization.

                                   10

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Q6.    WHO IS RESPONSIBLE FOR WRITING THE POSITION DESCRIPTION?

A.     While supervisors are basically responsible for the accuracy of
       Che position description, it should be written in close collabor-
       ation with the incumbent whenever possible.  This procedure pro-
       motes a common understanding of what the employee's duties and
       responsibilities really are.  However, the final responsibility
       belongs to the supervisor.

Q7.    WHAT IS CONSIDERED IN DETERMINING A CLASSIFICATION?
      I
A.     In determining the appropriate classification for a position, the
       personnel specialist considers the kind and difficulty of the work
       assigned to the position in order to come up with the correct pay
       category, title, series and grade.  For example:

          0 The pay category, such as General Schedule (GS) or Trades and
            Labor (WG, WL, or WS) is decided upon the basis of whether the
            position is "white collar" or "blue collar."  If "blue collar,"
            a determination must be made as to whether the position is
            supervisory, leader, or non-supervisory in order to place the
            position into its proper pay schedule;

          0 The title of a position (e.g., Clerk-Stenographer, Supervisory
            Sanitary Engineer, Electrician, etc.) reflects the kind of work
            being done and whether the position is supervisory or not;

          0 The series of a position (e.g., GS-318 for Clerk Stenographer,
            GS-819 for Sanitary Engineer, WG-5703 for Motor Vehicle Opera-
            tor, etc.) further identifies the type of work being done for
            statistical and other purposes;

          0 The difficulty of the work determines the grade of the position,
            and the grade, in turn, determines the salary range of the
            position.  The least difficult positions are placed in the lower
            grades and are assigned a lower salary range while the positions
            that are more difficult and complex are placed higher up in the
            scale of grades and are assigned a higher salary range.  The
            system is like a ladder which puts the simplest positions at the
            bottom with a gradual progression to the most difficult positions
            at the top; and

          0 The final result of the classification process is the assignment
            of a position to a class, for example, Clerk-Stenographer, GS-
            312-4; Supervisory Sanitary Engineer, GS-819-14; Motor Vehicle
            Operator, WG-5703-5 etc.

Q8.    DO POSITION CLASSIFICATIONS CHANGE?

A.     Once a position Is properly placed into a class, it is retained in
       that class unless:  (1) there is substantial change in the complexity
                                    11

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       of Che duties performed; or (2) the standards governing the classi-
       fication of the position are changed.

Q9.    WHAT IS THE RELATIONSHIP BETWEEN CLASSIFICATION AND PAY?

A.     For each grade there is an established salary scale.  Advancement
       from one salary step to another within a grade depends on length
       of service and quality of work performance.  The basic salaries
       for General Schedule positions apply nationally and are set by the
       President upon consideration of the recommendations of his pay
       agents and advisors who base their proposals on pay comparability
       with private industry in the national labor market.  Salaries for
       Trades and Labor positions are established for each local wage
       area on the basis of comparability with wages paid by private
       industry in the local labor market.

Q10.   WHAT RECOURSE DO EMPLOYEES HAVE IF THEY DISAGREE WITH THE CLASSIFI-
       CATION OF THEIR POSITIONS?

A.     Employees can appeal the classification of their positions at any
       time:

          0 The appeals procedures for General Schedule employee? are
       described in EPA Order 3150.2; and

          0 The appeals procedures for Trades and Labor employees are
       described in EPA Order 3150.3.

Qll.   CAN EMPLOYEES APPEAL THE CLASSIFICATION OF THEIR JOBS TO THE CIVIL
       SERVICE COMMISSION?

A.     It depends:

          0 General Schedule employees may appeal the classification of
       their positions to the Civil Service Commission at any time.  How-
       ever, employees are urged to use EPA appeal channels first.  Both
       channels may not be used at the same time; and

          0 Trades and Labor employees must appeal to EPA first.  The EPA
       appeals decision may then be taken to the Civil Service Commission,
       if desired.

Q12.   WHAT IS A POSITION CLASSIFICATION SURVEY?

A.     A review of all positions to determine the accuracy of all position
       descriptions, the correctness of all position classifications, and
       the necessity for the existence of all positions is conducted each
       year by the servicing personnel office in conjunction with the
       responsible managers and supervisors.  An annual survey is required
       by law, i.e., by the Supplemental Appropriation Act of 1952, commonly
       known as the Whitten Amendment.  Each year, the agency must submit a
       certificate to the Congress indicating that all positions have been
       reviewed, all classifications corrected, and all unnecessary positions
       abolished.

                                    12

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                                                        Chapter 1
                                                        Subchapter 2
                                                        Section 2-2
PAY-GENERAL SCHEDULE
Primary Sources             EPA Pay Administration Manual
                            FPM Chapters 530, 531, 539, 550 & 551
                            FPM Supplements 532-1, 990-1 & 990-2
Background

Paying employees equitable rates of pay can help achieve high employee
morale and more effective work performance.  Effective pay administration
can also result in higher productivity and can help in the recruitment
and retention of quality employees.  The pay administration system also
provides the flexibilities needed to reward high-levels of work performance.

Role of the Supervisor

Supervisors have the primary role in pay administration for these reasons:

     In determining the duties and responsibilities of positions, super-
visors, in effect, determine the grade and type of position to be estab-
lished, and, therefore, the type of rate (special or regular) and the
range of pay to be assigned;

   0 In managing the time of their subordinates, supervisors, in effect,
determine whether overtime, night differentials, or standby duty pay need
be paid;

     In managing the work environment, supervisors, in effect determine
whether hazardous duty pay or environmental differentials need be paid;
and

    In determining when employees are operating at acceptable levels of
competence, supervisors determine whether within-grade increases are
awarded.

Role of the Servicing Personnel Office

The Personnel Office advises supervisors and employees on pay administration
regulations and serves as liaison with Agency Headquarters and/or the Civil
Service Commission in connection with obtaining approvals for special pay
rates or superior qualifications appointments or for other reasons related
to pay.

                                    13

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Ql.    HOW IS THE PAY SCHEDULE FOR GENERAL SCHEDULE POSITIONS DECIDED?

A.     The pay schedule for General Schedule positions is established
       by the President, based upon the advice of his pay agents, the
       Director of Management and Budget, the Chairman of the Civil
       Service Commission, and the Advisory Committee on Federal Pay.
       The pay schedule is usually effective the first day of the first
       pay period commencing on or after October 1.

Q2.    WHAT ARE THE GS PAY RATES BASED UPON?

A.     The pay rates are based upon comparability with private enter-
       prise pay rates for the same levels of work.

Q3.    CAN POSITIONS BE ASSIGNED PAY RATES HIGHER THAN THAT FOUND IN
       THE GENERAL SCHEDULE?

A.     Yes.  Higher pay rates can be authorized by the Civil Service
       Commission if pay rates in private enterprise for one or more
       areas or locations are so substantially above the pay rates of
       the General Schedule as to handicap significantly the Govern-
       ment's recruitment or retention of well-qualified individuals.
       Supervisors interested in securing these higher rates should
       keep records as to job offers and separations where pay is a
       factor and present this evidence to the Personnel Officer to
       support requests for special rates of pay.

Q4.    AT WHAT RATE ARE NEW APPOINTMENTS MADE?

A.     New appointments are generally made at a minimum regular rate
       or special rate of the appropriate grade.  However, with the
       approval of the Civil Service Commission, individuals may be
       appointed at higher steps of the pay range for grade GS-11
       positions and above when it can be demonstrated that they are
       unusually well-qualified and that the existing pay is not
       sufficient to attract them.

Q5.    WHEN SHOULD OVERTIME BE PAID?

A.     Generally, full-time, part-time, and intermittent employees
       who work more than 8 hours in a calendar day or in excess of
       40 hours within an administrative work week should receive
       overtime pay.

Q6.    ARE THERE EXCEPTIONS TO THIS?

A.     Yes.  "First 40-hour employees" (i.e. GS full-time employees
       whose hours of duty cannot be scheduled in advance) do not
       receive overtime if they work more than 8 hours in a calendar
       day.  Neither are  experts and consultants entitled to overtime
       pay.  Also, officials authorized  to approve overtime may re-
       quire most employees in GS-11 and above positions to take com-
       pensatory time off in lieu of overtime.

                                    14

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Q7.    HOW IS OVERTIME COMPUTED?

A.     It one and one-half times the basic hourly rate where the employee's
       hourly rate of basic pay does not exceed the minimum scheduled rate
       of GS-10.  Otherwise, it is one and one-half times the minimum
       scheduled rate of GS-10.

Q8.    HOU IS EXTRA PAY AUTHORIZED FOR DUTY INVOLVING PHYSICAL HARDSHIP,
       HAZARD, OR DIFFICULT WORKING CONDITIONS?

A.     When such conditions cannot be avoided, pay differentials for
       assigned irregular or intermittent duty involving unusual physical
       hardship or hazards are authorized by the Civil Service Commission.
       (See Chapter 9 of the EPA Pay Administration Manual).

Q9.    HOW ARE PERIODIC STEP INCREASES IN PAY ACHIEVED?

A.     5 U.S. Code 5335 provides that advancement to the next higher pay
       step of a grade under the General Schedule will not be automatic;
       it must be earned.  To receive a periodic step increase to the
       next salary rate of the grade of the position occupied, an employee
       must accomplish two things:  satisfy the length-of-creditable-
       service requirements and have a supervisor's certification that the
       work being performed is of an "acceptable level of competence."

Q10.   WHAT ARE THE LENGTH OF SERVICE REQUIREMENTS?

A.     The prescribed periods of creditable service are as follows:

           For Advancement To                    Calendar Weeks

           Rates 2, 3, or 4                            52
           Rates 5, 6, or 7                           104
           Rates 8, 9, or 10                          156

Qll.   WHAT IS MEANT BY "ACCEPTABLE LEVEL OF COMPETENCE"?

A.     Before a periodic step increase can be granted, the supervisor
       must determine that the employee is functioning at an acceptable
       level of competence.  A marginal or barely satisfactory employee
       may not legally receive a step increase.  The granting of addi-
       tional pay through step increases presupposes that the employee,
       through increasing proficiency, capability, and knowledge of the
       job, is worth progressively more to the Agency in the particular
       job occupied.  The purposes of the competency determination are
       to:

          0 Stimulate optimum performance among employees;

          0 Ensure that employees who clearly meet the statutory standard
            of performance receive periodic step increases; and


                                   15

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          6 Withhold step increases from employees who do not clearly
            meet the statutory standard.

Q12.   MAY AN EMPLOYEE APPEAL A DETERMINATION MADE NOT TO GRANT HIM/HER
       A PERIODIC STEP INCREASE?

A.     Yes.  A request for reconsideration may be submitted to a higher
       level supervisor who took no part in the original decision.  Re-
       consideration decisions may be appealed to the Civil Service
       Commission.

Q13.   HOW CAN I USE FAY TO REWARD PERFORMANCE?

A.     There are two ways.  The first is the periodic step increase,
       described above, which is used to reward employees who operate
       at acceptable levels of competence.  Quality increases are the
       second type of step increase provided by law.  They are based
       on high quality performance above that ordinarily found in the
       same type and grade of position.  These increases are designed
       to recognize and to reward, on a continuing basis, quality per-
       formance that substantially exceeds normal requirements and
       results in a high and continuing degree of effectiveness.  The
       relationship of quality step increases to other awards is dis-
       cussed in the EPA Awards Manual.

       Note:  Since the criteria for an outstanding performance rating
       exceed the criteria for a quality within-grade increase, an
       employee does not have to be rated outstanding to receive a
       quality step increase.

Q14.   WHAT IS COMPENSATORY TIME?

A.     Compensatory time is time off granted in lieu of overtime pay
       to an employee who has worked irregular or occasional overtime
       work.  Credit is given on the basis of 1 hour of compensatory
       time for every hour of overtime worked in minimum periods of 1
       hour or multiples thereof.  It should be recorded on EPA Form
       2560-6, Record of Authorized Compensatory Time.  Compensatory
       time off should normally be used within six months, with accu-
       mulation generally limited to 60 hours.  See the EPA Pay Admin-
       istration Manual, Chapter 4 for further details.

Q15.   MAY COMPENSATORY TIME OFF BE GRANTED IN LIEU OF OVERTIME PAY?

A.     Wage employees may not be granted compensatory time off.  They
       must be paid for overtime.

       General Schedule employees may be granted compensatory time off
       or paid for overtime work as follows:

                                    16

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   0 Any employee whose basic pay rate Is at or below the top
     step rate for GS-10 must be paid for overtime unless the
     employee requests compensatory time instead; and

   0 Employees above GS-10, step 10, can be granted compensatory
     time at the option of the supervisor.

For information on compensatory time off for employees who are
nonexempt from FLSA, see Chapter III, Subchapter 4.
                             17

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Chapter II- STAFFING

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                                                        Chapter II
                                                        Subchapter 1
                                                        Section 1-1
EMPLOYMENT CEILINGS
Primary Source              FPM Chapters 316 & 312 (Appendix B)

Agencies are assigned maximum allowable employment figures, called
employment ceilings, which are administered by the Office of Management
and Budget.  At the end of each fiscal year, agencies must be at their
assigned levels.
Background

There exist two finite and mutually exclusive personnel ceiling groups.
The first, largest, and least complicated of these categories is that
of Permanent-Full-Time (PFT) ceiling, against which are counted all
those employees with Career, Career Conditional, or excepted (perman-
ent) status who are scheduled to work no less than 40 hours per week
and forty-hour a week term appointees serving for more than one year.

The second and sometimes confusing ceiling category is properly cap-
tioned the Other-Than-Permanent-Full-Time (OPFT) ceiling — although
it is often referred to with the popular misnomer of "temporary
ceiling."  Taking the OPFT literally, you can logically deduce those
types of employees whose positions are encompassed by this ceiling
group.  They are:

   0 Permanent Part Time;

   0 Permanent Intermittent;

   0 Temporary Part Time;

   0 Temporary Intermittent (including experts and consultants,
     See chapter on same);

   0 Temporary Full Time;

   0 Cooperative Education Employees;

   0 State Assignees;

   0 Summer Employees (some are excepted from coverage by any ceiling);

   0 Excepted Temporary;

   0 Excepted Part Time;

                                   19

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   0 Excepted Intermittent; and

   0 Term employees serving less than one year.

Role of the Supervisor

A supervisor should determine against which ceiling each person within
his/her organization counts and assess the total numbers assigned
against ceiling figures to assure adequate manpower planning for the
end of the fiscal year.

Role of the Servicing Personnel Office

Your Personnel Office staff is available to counsel you as to the appoint-
ment requirements for each of these positions and the tenure and benefits
accorded employees serving under each of these appointments.  In light of
these varied entitlements, it is especially important to consult with the
Personnel Office in planning to meet end of fiscal year requirements.
Throughout the year, Personnel also keeps track of organizational and
total Agency on-board employment strength and monitors these for consid-
eration in Agency management decisions.
                                   20

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                                                        Chapter II
                                                        Subchapter 1
                                                        Section 1-2
RECRUITMENT

Primary Source              FPM Chapter 332
Background

Recruitment is the process of obtaining a supply of qualified candidates
for jobs in our Agency.  Positions may be filled through a variety of
methods including appointments from Civil Service registers, promotions
from within, reassignments of present EPA employees, transfers from
other Federal agencies or reinstatement of former career or career con-
ditional employees.

Role of the Supervisor

Responsible for planning the manpower needs, both immediate and long
range, and submitting SF 52's, Requests for Personnel Actions, to their
respective servicing Personnel Officers for position classification and
recruitment assistance.

Role of the Servicing Personnel Office

Assist supervisors in utilizing the most effective and proper method of
recruitment from available manpower sources and insuring that all recruit-
ment processes and procedures are non-discriminatory according to the
Equal Employment Opportunity Act.
                                   21

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Ql.    WHEN DOES THE FISCAL YEAR END?

A.     September 30th of each year.

Q2.    WHEN IS THE ACTUAL COUNT OF ON-BOARD STRENGTH MADE?

A.     The actual count is taken on the last work day of the last full
       pay period in the month of September.

Q3.    DO INTERMITTENT EMPLOYEES COUNT AGAINST OPFT CEILING?

A.     Intermittent employees count against the OPFT ceiling at the end
       of the fiscal year only if they have worked any time during the
       last two pay periods of the fiscal year.

Q4.    DO EMPLOYEES ON LEAVE WITHOUT PAY COUNT AT THE END OF THE FISCAL
       YEAR?

A.     Employees who at the end of the year have been on LWOP for thirty
       days do not count against ceiling.

Q5.    CAN ALL OPFT EMPLOYEES BE TERMINATED?

A.     Termination is a form of separation' which requires no other notice
       than the notification of the personnel action.  Permanent-part-time
       and permanent-intermittent employees may not be terminated; they
       must be removed under the procedures established for other career
       and career-conditional employees.  Temporaries — whether they are
       intermittent, part-time, or full-time — may be_ terminated at any
       time prior to the expiration of their appointments.  Reasons for
       the termination of employees serving on appointments with time-
       limitations or "not-to-exceed" dates imposed upon them may include
       lack of work, lack of funds, expiration of appointments, etc.
       Offices employing OPFT employees on appointments without time limi-
       tations should consider this specific difference and its impact on
       OPFT ceiling flexibility prior to appointment.

Q6.    DO STAY-IN-SCHOOL APPOINTEES COUNT AGAINST ANY EMPLOYMENT CEILING?

A.     No.

Q7.    DO INTERGOVERNMENTAL PERSONNEL ACT (IPA) ASSIGNEES COUNT AGAINST
       CEILINGS?

A.     IPA assignees appointed in EPA count against other-than-permanent-
       full-time ceiling.

       IPA assignees detailed to this Agency do not count against any
       EPA ceiling.

       EPA employees who are IPA assignees count against our permanent-
       full-time ceiling only if the Agency pays 50% or more of the
       assignee's salary.

                                       22

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Ql.    DOES THE AGENCY HAVE A CENTRAL RECRUITMENT SERVICE?

Q2.    Yes.  The Personnel Management Division established early in 1976
       The National Employment Center, physically located in Headquarters.
       Its function is to assist EPA offices facing difficult recruiting
       situations to find qualified candidates.

Q2.    WHAT ARE SOME SOURCES OF OBTAINING APPLICANTS FOR VACANCIES?

A.     A good source for filling entrance-level positions is the Civil
       Service Commission register.  EPA's Merit Promotion programs can
       provide an adequate supply of eliglbles for position vacancies
       at other than entrance levels.  However, supervisors may also
       consider reassessing employees within the agency, transferring
       employees from other agencies or reinstating former career and
       career-conditional employees.  Applications of qualified eligibles
       are also available from EPA's National Employment Center.

Q3.    MUST A SUPERVISOR CHOOSE ONE OPTION OR ANOTHER FOR FILLING VACANCIES?

A.     No.  Supervisors and managers may simultaneously use a number of
       approaches to meet a staffing need.  As an example, it is generally
       possible to issue a Merit Promotion Vacancy and simultaneously
       request a Certificate of Eligibles from the Civil Service Commission
       for the same position.
                                   23

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                                                        Chapter II
                                                        Subchapter 1
                                                        Section 1-3
STUDENT EMPLOYMENT AND
CO-OPERATIVE EDUCATION
Primary Sources             FPM Chapter 308
                            FPM Chapter 213
                            EPA Summer Employment
                                 Program for Youth, 5/77
Background

EPA has been actively involved in student employment and the Cooperative
Education Program.  These efforts provide youth an opportunity to partic-
ipate in environmental improvement activities and often serve as a source
of future manpower for the Agency.

Role of the Supervisor

Supervisors are responsible for participating in the program and providing
meaningful work assignments to student employees.  Such employees can
relieve manpower restraints especially during the peak vacation periods.

Role of the Servicing Personnel Office

Encourage the use of student employment to the extent practical and aid
managers in recruiting candidates who meet the requirements of the
programs.
                                 24

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Ql.    WHAT STUDENT EMPLOYMENT APPOINTMENTS ARE AVAILABLE AT EPA?

A-     Cooperative Education programs provide students in established
       high school or college co-op programs with periods of study
       followed by periods of study-related, full-time employment.
       Permanent positions should be offered noncompetitively to em-
       ployees who successfully complete a cooperative program.

       Federal Junior Fellowship Program is designed to provide Federal
       job opportunities for outstanding college-bound high school
       seniors who need earnings from such employment to help meet col-
       lege costs.  It provides selected high school seniors with career
       related work experience in Federal agencies during summer and
       other vacation periods while they attend college.  This is a
       pilot program used In the Washington, D.C. area only.

       Federal Summer Intern Program is for students who have completed
       at least 60 hours of college credit, demonstrated leadership
       characteristics through extracurricular activitiest plan to re-
       turn to school in the fall, and are in the top 1/3 of their under-
       graduate class or the top 1/2 of their graduate class.  The program
       calls for nonclerical, career-related jobs that include at least
       four hours of developmental activities per week.

       Stay-in-School Campaign is designed to provide part-time jobs to
       disadvantaged youths when employemnt might make the difference
       between a student's staying in school or dropping out.  Appointees
       must be at least age 16 but not more than age 21 and be enrolled
       In a high school or higher accredited learning institution.

       Summer Employment Program  provides, through a summer employment
       examination,  thousands of summer applicants for GS-1 through GS-4
       positions, such as typist and stenographer, and, without a written
       examination,  for 700 hour appointments,  GS-5 and above.  Applicant's
       grade level is determined by appropriate experience and education..

       Summer Aids Program is open to economically deprived youths certi-
       fied to the Agency by State Employment Commissions.  Their work
       assignments are generally routine in nature, and they are paid
       locally established minimum wages.   Unlike the Stay-in-School
       Campaign,  employment is limited to the summer period,  however the
       purpose of employment is similar — to provide earnings that will
       allow students to continue their education.
                                 25

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                 THE COOPERATIVE EDUCATION PROGRAM

                       QUESTIONS AND ANSWERS
  I.  what is the purpose of the Cooperative Education
      Program (Coop)?

      The program is designed to prepare students for
      careers in administrative, managerial, and
      technical occupations  by integrating alternating
      periods of academic study and work experience.
      The program permits the Agency to evaluate the
      student's performance before offering a permanent,
      career conditioned position.  Students completing
      the Program are eligible for non-competitive
      appointment to a permanent position.

 II.  Who is eligible for the Coop. Program?

      A prospective student trainee must meet the
      following requirements:

      1.  Must be in attendance at a college or univer-
          sity which has established a Cooperative
          Education Agreement with the Environmental
          Protection Agency.

      2.  Must be enrolled on a full-time basis in a study
          program leading to a BA or BS degree.

      3.  Must have completed at least one full year of
          study (45 quarter or 30 semester credits).

      4.  Must be recommended by the school to our
          Personnel Office.

      5.  Must have at least a 2.0 overall scholastic
          average on a 4.0 scale,  and have grade "C"
          or above in all major fields of study.

III.  Generally,  initial assignments will be made at the
      GS-3 level.   Upon satisfactory completion of initial
      assignments returning  students with at least 60
      semester credits or 90 quarter credits will be
      eligible for promotion to the GS-4  level.

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IV.  Can Coop students be promoted to the GS-5 level?

     Generally, students are not promoted to the GS-5 level.
     However, occassionally promotions may be made from the
     GS-4 to the GS-5 level when documentation shows that a
     student's performance has been outstanding.  The
     student must have also completed 90 semester hours or
     135 quarter hours.

 V.  Are Coop students eligible for benefits?

     1.  Leave - Students accrue annual and sick leave when
         they are in a work status.  Students whose work
         schedules include Federal holidays will be paid
         for these days.

     2.  Benefits - Students may participate in the Federal
         Life Insurance and health benefit programs.  The
         student and the Agency share the cost of these
         benefits.  Students electing these plans will be
         covered by the Agency for up to one year on leave
         without pay in order to attend school.

     3.  Retirement - All students will be covered under
         The Civil Service Retirement System.

VI.  Kow are the Coop work schedules determined?

     When a student enters the program a schedule of alternating
     work and school is jointly established by the school,
     supervisor, student, and EPA Coop coordinator.   The
     schedule can be amended with the approval of the above
     individuals providing that it adheres to the following
     requirements:

         1.   Prior to graduation the student will work for
             at least two separate work periods with an
             intervening period of full-time study (12
             quarter or semester hours).

         2.   A minimum of 26 weeks of total full-time
             employment will be completed prior to the
             student's graduation.

         3.   One period of work will be within 18 months
             of the student's graduation.

     If these requirements are not met,  the student will
     not be  eligible for conversion to a career conditional
     position.

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 VII.  What other requirements must a student fulfill?

       The student is expected to:

            1.  Satisfy the work performance standards of the
                Region.

            2.  Demonstrate interest in his/her professional
                career, both at work and at school.

            3.  Provide evaluation reports of a nonconfiden-
                tial nature to both the University and Per-
                sonnel Office.

            4.  Take courses broadly related to his/her career
                field.

            5.  Maintain the status of "student in good
                standing" at the University.

VTIII- What are the supervisors' responsibilities in the
       Coop program?

       1.  Supervisors should carefully design the student's
           position description and training plan in order to
           provide the student with meaningful and increasingly
           responsible work assignments.  The assignments
           should also relate to the students academic work.
           The student should be provided guidance in
           carrying out these assignments.

       2.  Supervisors must complete and discuss the evaluation
           form with the student at the end of each work
           period.  At this time, the supervisors may also
           make recommendations concerning the student's
           academic study plan and future work assignments.

       3.  Supervisors must forward the completed evaluation
           to the Personnel Office.  Any problems with
           "student's performance" should be discussed with
           the Coop coordinator.

       4.  Supervisors make recommendations on retention and
           promotion of students.

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IX.   Are Coop students eligible for permanent positions
     with EPA?

     Yes.  Students successfully completing all the re-
     quirements of the Coop Program are eligible for non-
     competitive conversion to a career conditional
     appointment at the GS-5 level.  The position must be
     in the field of work in which he received his cooper-
     ative education training.  Supervisors, should discuss
     the possibility of permanent employment with the
     student during the last work assignment and make a
     recommendation regarding conversion to a permanent
     position.  Conversion must take place within 120
     calendar days after graduation.

     Permanent placement is dependent on the availability
     of positions.  If a position is not available in this
     region the student can request that he/she be considered
     in other EPA offices.  It is the responsibility of the
     student to contact the Coop coordinator at least
     60 days prior to graduation in order to be considered
     for a permanent position within the region.

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                                                        Chapter II
                                                        Subchapter 1
                                                        Section 1-4
SELECTIVE PLACEMENT PROGRAMS

Primary Sources             FPM Chapter 213
                            FPM Chapter 306
                            EPA Employment of
                                 the Handicapped, 9/76
Background

It is the policy of EPA to be actively involved in affirmative action
efforts for employment of handicapped individuals and disabled veterans.
These highly productive individuals are referred from a variety of or-
ganizations and associations that promote their interests, and often
there are special appointing authorities granted by the Civil Serlvce
Commission.

Role of the Supervisor

Supervisors are responsible for giving full consideration to handicapped
individuals and disabled veterans in filling vacancies and for Identifying
positions that can be used or restructured to facilitate hiring these
individuals.

Role of the Servicing Personnel Office

Assisting managers in establishing and meeting affirmative action goals
for this program.
                                 26

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Ql.    WHAT SPECIAL HIRING AUTHORITIES ARE AVAILABLE FOR HANDICAPPED
       INDIVIDUALS?

A.     Severely handicapped and mentally retarded persons are normally
       appointed under a Schedule A Excepted Appointment authority
       after serving a satisfactory 12 month temporary trial period.
       Also 700 hour temporary appointments can be made anytime during
       the year for initial appointment of such individuals.

Q2.    DO HANDICAPPED EMPLOYEES COUNT AGAINST AGENCY CEILING?

A.     Yes, those on permanent full time appointments count against
       PFT (Permanent Full Time) ceiling like any other employee.  All
       others count against the OPFT (Other Than Permanent Full Time)
       ceiling.
                                 27

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                                                        Chapter II
                                                        Subchapter 2
                                                        Section 2-1
CAREER AND CAREER-CONDITIONAL
APPOINTMENTS

Primary Source              FPM Chapter 315
Background

Career conditional appointments are given to persons who pass competitive
civil service examinations and are selected for continuing positions from
lists of eligibles established as the result of the examination.  At the
end of 3 years of satisfactory service, career-conditional employees are
automatically converted to career appointments.

Role of the Supervisor

To select candidates from civil service registers and determine during
the probationary period if the employee should be retained for permanent
Government service.

Role of the Servicing Personnel Office

To request civil service registers of applicants to fill competitive
positions when requested by the Supervisor.
                                 28

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Ql.    WHAT IS THE CAREER-CONDITIONAL EMPLOYMENT SYSTEM?

A.     Permanent employment in the competitive service is governed by the
       career-conditional employment system.  Under this system employees
       are generally brought into government service under a career-con-
       ditional appointment.  Career-conditional appointments are made
       when an eligible is selected from a register for continuing
       appointment to a competitive position.  Such appointments confer
       specific privileges:

           . Eligibility for non-competitive movement to any position
             for which the employee qualifies;

           . Competitive status with attendant rights in adverse actions
             upon completion of the 1-year probationary period;

           . Career tenure with improved retention rights after completion
             of 3 years of substantially continuous service; and

           . Reinstatement eligibility, with certain limitations.

Q2.    WHAT DOES REINSTATEMENT MEAN?

A.     Reinstatement means the non-competitive reemployment as a career
       or career-conditional employee of a person formerly employed in the
       competitive service who had competitive status or was in a proba-
       tionary period when he/she was separated from that service.  Employees
       may not be reinstated to a higher grade position than that which
       they previously served or to a position with higher grade potential
       unless they compete under the Agency's merit promotion procedures.

Q3.    IS THERE A TIME LIMIT ON REINSTATEMENTS?

A.     No, if the person has completed the three year service requirement
       for career tenure or has veteran's preference.

Q4.    ARE CAREER-CONDITIONAL EMPLOYEES REQUIRED TO SERVE A PROBATIONARY
       PERIOD?

A.     Yes.  A period of one year, which is considered to be an on-the-job
       test of suitability and competence, must be served.  At any time
       during the probationary period an employee may be dismissed merely
       upon written notice if it appears that retention would not be in the
       best interests of the agency.  Supervisors must specifically recom-
       mend retention or separation, upon the basis of conduct and work.
       You must contact your personnel office if you are considering ter-
       minating the employee during the probationary period.
                                  29

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Q5.    HOW DOES THE PROBATIONARY PERIOD AFFECT EMPLOYMENT IN THE CAREER-
       CONDITIONAL EMPLOYMENT SYSTEM?

A.     An employee who has been given a career-conditional appointment by
       selection from a certificate of eligibles is required to serve a
       probationary period of 1 year.

       During the probationary period, the employee's conduct and
       performance in the actual duties of his position may be observed,
       and he/she may be separated from the service without undue  formality
       if the circumstances so warrant.  Thus, the probationary period
       provides protection against the retention of any person, who, in
       spite of having passed preliminary tests, is found in actual
       practice to be lacking in fitness and capacity to acquire fitness,
       for permanent Government service.

       The supervisor of each employee serving a probationary period must,
       no earlier than the beginning of the ninth month nor less than the
       end of the tenth month of such period, submit through supervisory
       channels a signed statement certifying either that the employee's
       performance, conduct, and general traits of character have  been found
       satisfactory or that they have been found unsatisfactory.   Each
       certification must contain a definite recommendation as to  whether
       the employee should be retained beyond the probationary period.  If
       the employee is found to be unsatisfactory, he/she must be  separated.
                                  30

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                                                        Chapter II
                                                        Subchapter 2
                                                        Section 2-2
EXCEPTED SERVICE APPOINTMENTS

Primary Sources             FPM Chapters 213, 300, 302
Background

Positions are excepted from the competitive service by the Civil Service
Commission whenever it determines that appointments through competitive
examination are not practicable or when the positions are determined to
be of a confidential or policy-determining character.  Positions excepted
other than by law are known as Schedule A, B, or C positions.

Role of the Supervisor

Supervisors are responsible for supervising excepted service employees,
assuring that equal employment opportunity and veteran's preference act
provisions are complied with, and selecting well-qualified candidates.

Role of ^he Servicing Personnel Office

Assists supervisors in identifying candidates in the excepted service and
providing all technical support.
                                 31

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Ql.    WHAT ARE SCHEDULE A POSITIONS?

A.     Schedule A positions are positions other than those of a confidential
       or policy-determining character for which it is not practicable to
       examine.  For example, attorneys are Schedule A appointees.

Q2.    WHAT ARE SCHEDULE B POSITIONS?

A.     Schedule B positions are positions other than those of a confidential
       or policy-determining nature for which it is not practicable to hold
       a competitive examination.  Appointments to these positions are
       subject to any non-competitive examination that the Civil Service
       Commission may prescribe.  EPA has no Schedule B employees at this
       time.

Q3.    WHAT ARE SCHEDULE C POSITIONS?

A.     Schedule C positions are positions of a confidential or policy-
       determining character usually reporting to the Administrator, Deputy
       Administrator, or an Assistant Administrator.
                                 32

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                                                        Chapter II
                                                        Subchapter 2
                                                        Section 2-3
EMPLOYMENT OF EXPERTS AND CONSULTANTS
Primary Sources             EPA Order No. 3110.Aa
                            FPM Chapters 213, 304, and 735
Background

A consultant is an "other-than-permanent-full-time" employee who serves as
an advisor to an officer or instrumentality of the government; who is
renowned in the field in which he/she advises, but not necessarily a special-
ist; who is normally qualified for compensation at a minimum of the GS-13
level; and whose appointments are limited to periods not in excess of one
year.

An expert is a specialist or one with a unique skill in one or more narrow
fields which would qualify him/her as an authority in these fields.  An
expert, unlike a consultant, is therefore allowed to perform operational
duties for a limited time when those duties cannot be performed satisfacto-
rily by ordinarily competent employees within the activity.

Role of the Supervisor

If you propose to utilize the services of an expert or consultant, you
should clearly identify the function to be performed by the subject as one
deemed legally permissible for this type of employee.  You should also make
an initial judgment as to whether the qualifications of the candidate can
support such an appointment.  Prior to appointment you should secure a
completed SF-171, Personal Qualifications Statement, from the candidate,
and then channel the required documents through to your organization's
certifying official (AA, RA, DA, or Administrator), who must assure the
propriety of the proposed action.  In addition to the usual SF-52, request
for Personnel Action, you will have to initiate an EPA Form 3140, Expert or
Consultant Supplemental Information, which calls for a description of duties
and qualifications, and have the potential employee complete a Confidential
Statement of Employment and Financial Interests.  This EPA Form No. 3120.1
is to be reviewed at the DAA level or higher and retained by the employing
office.

Role of the Servicing Personnel Officer

Personnel is available to counsel managers as they embark upon establishing
and filling these positions, governed by many regulations of a highly tech-
nical nature.  Additionally, personnel must assure that all required documents
have been properly completed and that a determination has been made that no


                                 33

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conflict of interest exists.  They must decide on the appropriate employment
authority; determine the nature and appropriateness of employment, with con-
sideration given to the employer-employee relationship involved; determine
the duration and variety of appointment and notify the expert/consultant of
his status; establish a proper rate of compensation; document terms of
employment; and review on a quarterly basis the employment of those experts
and consultants within their jurisdiction.

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Ql.    WHAT TYPES OF FUNCTIONS ARE NOT LEGALLY PERMISSIBLE FOR A CONSULTANT
       TO PERFORM?

A.     A consultant may not:

       * Carry out the agency's duties and responsibilities, e.g.
         represent the Agency, sign official documents or correspondence;

       * perform or supervise the performance of operating functions;

       * be assigned the duties of a  full-time continuing position;

       * be assigned to a job which could be performed as well by a
         regular employee; or

       " supervise the work of another EPA employee.

Q2.    CAN A CONSULTANT/EXPERT APPOINTMENT BE USED TO PAY AN EMPLOYEE MORE
       THAN HE/SHE WOULD OTHERWISE BE ENTITLED TO UNDER A REGULAR CIVIL
       SERVICE APPOINTMENT?

A.     No.  Consultant/expert appointments cannot be used for this purpose
       of avoiding statutory pay limitations, nor can they be used to cir-
       cumvent competitive civil service employment procedures or travel
       payment restrictions.
                                  35

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                              Chapter II
                            Subchapter 2
                             Section 2-4
RESERVED
   36

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ENVIRONMENTAL
PROTECTION             ORDER            R 3110.4
AGENCY
Jtegion IX                                      September 14, 1977
                    ADMINISTRATIVE MANAGEMENT
                      CONFLICTS OF INTEREST

1.   Purpose;   The purpose of this Order is to specify Region  IX
policy regarding the  prevention of conflicts of interest when
awarding contracts or purchase orders involving former EPA
employees.

2.   Authorityi   This Order is promulgated pursuant to Title 41,
Code of Federal Regulations (CFR), Subpart 15-1.53 - Code  of
Conduct.

3.   Scope;

     a.   This Order  prescribes procedures for identifying and
dealing with real or  apparent conflicts of interest in contracts
or purchase orders awarded by Region IX to organizations employing
former Environmental  Protection Agency employees.   Information
contained herein is not applicable to agreements with other
departments and agencies of the Federal Government or contracts
awarded to State or local units of Government.

     b.   The purpose of this Order is to ensure that no contract
is awarded to any organization or firm that employs a former
regular or special EPA employee in circumstances which constitute
a real or apparent conflict of interest and to ensure that awards
are not tainted with  favoritism.

4.   Policy;

     a.   (1)   No contract shall be awarded without competition
if a prospective contractor employs in the capacity of officer,
director, other senior management employee or proposes to  employ
as project officer or a major consultant on the contract,  a
former EPA regular employee or a former special EPA employee if
either of the following conditions exist:

               (a)  the former EPA employee is involved in
developing or negotiating the proposal for the prospective
contractor,
     All Employees                                        Initiated by M-l

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                                     ORDER
R 3110.4
               (b)  the former EPA employee will be involved
directly or indirectly in the management, administration or
performance of any contract resulting from the proposal.

           (2)  The prohibition identified in Paragraph fl.a.(1)
shall cease one year after termination of the former employee's
EPA employment.

     b.   Treatment of Competitive Contracts—

           (1)  The prohibition of Paragraph jf. a.(1) shall not
apply with respect to competitive contracts.  Award of such
contracts, however, must be consistent with 18 USC §207; former
employees must not exert improper influence over the award;
and the award must not be based on favoritism arising out of
the employee's former association with the EPA.

     c.   Waivers—Waivers will not be granted by any official
of this Region.  Where such waivers are in the best interest
of the Government, a written detailed justification will be
submitted and transmitted to EPA Headquarters for approval.

     d.   Subcontracts—The provisions of this notice do not
apply to subcontracts unless the effect of such subcontracts
would be to circumvent the restrictions of this notice.
                                     B. David Clark
                              Director, Management Division

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                                                        Chapter II
                                                        Subchapter 3
                                                        Section 3-1
DETAILS
Primary Source              FPM Chapter 300
Background

Details are intended only for meeting temporary needs of the Agency's work
program when necessary services cannot b<: obtained by other desirable or
practicable means.

Role of the Supervisor

. Must be aware of all requirements and restrictions when detailing employees.

. Is required to submit a Request for Personnel Action (SF-52) to the Person-
  nel Office for details exceeding 30 days.

Role of the Personnel Office

Provides technical assistance and advice to supervisors.
                                  37

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Ql.    WHAT ARE DETAILS?

A.     DETAILS are temporary assignments of employees  to different  positions
       for specified periods of time — up to a maximum of  120 days without
       CSC approval.

Q2.    WHEN MAY DETAILS BE USED?

A.     With changes in mission or structure;

       During unanticipated absences;

       During other emergencies;

       Pending official assignment;

       Pending description and classification of a new position;

       Pending security clearance; or

       For training purposes, especially when that training is a part of an
       established promotional or developmental program.

Q3.    WHEN ARE DETAILS INAPPROPRIATE?

A.     When temporary promotion to a higher graded position is more
       appropriate.

       When the employee who is to be detailed for more than 30 days was
       competitively appointed from a register less than 3 months prior.

       When one 120 day extension for detail to a higher-graded position
       has already been approved by the CSC.

Q4.    HOW ARE DETAILS LIMITED?

A.     The CSC requires prior approval for:

         * Details beyond 120 days; or

         " Details of employees serving under excepted appointments to
           positions in the competitive service.

       Merit Promotion competitive procedures are required when:

       * A detail to a higher position will exceed 60 days; or

       * A detail to a position with known potential will exceed 60 days.
                                   38

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Q5.    HOW SHOULD A DETAIL BE DOCUMENTED?

A.     Details of more than 30 days are to be reported on Standard Form 52,
       Request for Personnel Action.  The Form is a permanent record in the
       Official Personnel Folder (OFF) and will serve to document any credit-
       able experience gained by the employee during the detail period.

       While details of 30 days or less do not require such documentation,
       employees may wish to submit Supplemental Experience and Qualification
       Statements, SF-172, so that descriptions of any creditable experience
       will be included in the OPF.

Q6.    WHAT DOES A DETAILED EMPLOYEE DO WHEN THE DETAIL IS OVER?

A.     The employer, returns to his/her regular duties, as technically the
       detailed employee remained throughout the detail the incumbent of
       the preceding position — i.e., the position from which he/she was
       detailed and not that to which he/she was detailed.

Q7.    IS A POSITION DESCRIPTION REQUIRED?

A.     An employee may be detailed to duties which have not yet been stated
       in a position description and classified.  Details may also be made
       to established positions.
                                  39

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                                                        Chapter II
                                                        Subchapter 3
                                                        Section 3-2
REASSIGNMENTS

Primary Sources             FPM Chapter 210
                            FPM Chapter 335
Background

Reassignment is the movement of an employee from one position to another
with no change in grade or salary.  These actions may be effected at the
discretion of management.  While the formal consent of the employee is not
required to move an individual within their competitive area, It is cer-
tainly desirable and should be obtained if at all possible.  Certain re-
assignments, if potential promotion is involved, are subject to competitive
promotion procedures.

Role of the Supervisor

Submit request for personnel action, SF-52's and position descriptions to
the personnel office before commitments are made or effective dates
established.

Role of the Servicing Personnel Office

Provide technical advice and assistance to supervisors, and process the
reassignment in a timely manner if the action is appropriate.
                                  40

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Ql.    HAY THE AGENCY REASSIGN EMPLOYEES?

A.     Yes, provided:

           . There is no loss in grade or salary;

           . The reassignment is in the best interest of the Agency;

           . The reassignment is not arbitrary, capricious, or unreasonable;

           . The employee is fully informed of the reasons why the action
             must be taken; and

           . The employee's interest and desires are considered.
                                   41

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                                                        Chapter II
                                                        Subchapter 3
                                                        Section 3-3
PROMOTIONS. MERIT PROMOTION PROCEDURES

Primary Sources             FPM Chapter 335
                            EPA Merit Promotion Manual
Background

The Merit Promotion Plan is designed to provide a method of filling
vacancies and to provide the opportunity for promotion into positions on
the basis of merit.

Role of the Supervisor

Responsible for:

    . Understanding the provisions of the Merit Promotion Plan and complying
      with its requirements;

    . Encouraging the use of the Plan as an effective means of filling
      vacancies;

    . Anticipating personnel needs and initiating action to fill vacancies
      in sufficient time to allow for proper selection in accordance with
      the Plan;

    . Serving as member of rating panels when called upon;

    . Identifying selective placement factors essential to successful job
      performance and quality ranking factors considered desirable, and
      determining values to be assigned to all elements including experience,
      training, potential and appraisals;

    . Making selections from among the best qualified candidates;

    . Assuring that employees eligible for promotion consideration are made
      aware of appropriate vacancies;

    . Completing employee appraisals and assessments of potential in accord-
      ance with procedures and schedules established by the personnel office;

    . Assisting employees1 career development through appropriate advice and
      training; and
                                  42

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    .  Assuring that subordinates are considered for promotion opportunities
      arising during their temporary absences, while on leave, on detail,  or
      in training, when such assistance is personally requested by the sub-
      ordinate.

Role of the Servicing Personnel Office

Responsible for carrying out the day-to-day procedures established by the
Merit Promotion Plan, and for providing technical assistance to managers
and employees who utilize the Plan.

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Ql.    TO WHOM DOES THE MERIT PROMOTION PLAN APPLY?

A.     All EPA installations.

       Positions in the competitive service at the GS-15 level and below
       and in all occupational groups.

       All wage grade positions.

Q2.    WHAT ARE THE EMPLOYEE'S RESPONSIBILITIES?

A.     For participating in the Merit Promotion Plan and complying with its
       requirements.

       For informing the Personnel Office, at least annually, of qualifica-
       tions, special training, and educational achievements which are not
       already a matter of record in the official personnel folder.

       For advising their supervisors if they wish to be considered for
       appropriate vacancies which may occur during their temporary absence,
       while on leave, on detail, or in training.

       For completing and submitting all forms required by an announcement
       when applying through merit promotion.

Q3.    WHAT FORMS MUST BE SUBMITTED FOR CONSIDERATION FOR A VACANCY VIA
       MERIT PROMOTION?

A.     The Merit Promotion Announcement lists the forms that must be sub-
       mitted.  Generally, they are:  a Personnel Qualifications Statement,
       SF-171; a current Genera.! Appraisal, no older than one year; a Super-
       visory Appraisal, if the position is supervisory; and a Merit Promo-
       tion Application, EPA 3115-9, which acknowledges receipt of applica-
       tion and provides merit promotion results.  Employees will be
       responsible for submitting all required forms to receive consideration.

Q4.    HOW IS THE AREA OF CONSIDERATION DETERMINED AND WHAT DOES IT REALLY
       MEAN?

A.     The selecting official, in the preparation of a Staffing Requisition,
       indicates the area in which recruitment is desired.   The servicing
       personnel office reviews this and considers whether the proposed area
       is wide enough to attract at least three well qualified candidates.
       Both parties should strive for a mutual agreement on the recruitment
       area.

Q5.    CAN NON-STATUS AND NON-EPA EMPLOYEES RECEIVE CONSIDERATION UNDER THE
       MERIT PROMOTION ANNOUNCEMENTS?

A.     No, they can only receive consideration when the announcement is open
       to them; status EPA employees can apply for any EPA position announced
       under Merit Promotion regardless of the recruitment area.

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Q6.    HOW IS THE PROMOTION POTENTIAL OF A POSITION DETERMINED?

A.     The supervisor has control over the duties and responsibilities that
       will be assigned to a position.  When it is anticipated that a position
       will have growth potential, the supervisor should discuss this with
       the classifier to get a determination of promotion potential.  The
       final decision on potential is made by the classifier.  All positions
       with known promotion potential are noted on the description and on
       the Merit Promotion Announcement.

Q7.    WHAT ARE THE INTERVIEW REQUIREMENTS OF THE PROGRAM?

A.     Before selection is made from a Merit Promotion Certificate* the
       selecting official is required to interview the top five candidates.
       If selection is made from the remaining candidates, this must be
       preceded by an interview of all remaining candidates on the certifi-
       cate.  Selecting officials are urged to give equal time and similar
       questions to each candidate.  Applicants outside the commuting area
       or otherwise unavailable for personal interview may be Interviewed
       by phone.

QS.    HOW ARE PANEL RATERS CHOSEN?

A.     The approval of the three panel raters is the responsibility of the
       personnel specialist; however, the selecting official is encouraged
       to nominate membership on the Staffing Requisition.  Two of the
       members may not be under tin- supervision of the selecting official
       and at least one member should be at least equivalent to the grade
       of the position being considered.  The selecting official cannot serve
       as a panel member unless there are unusual circumstances and approval
       is obtained from the EPA Headqut;irrr.«, Director, Personnel Management
       Division.

Q9.    UNDER WHAT CIRCUMSTANCES CAN CANDIDATES BE CONSIDERED WHO ARE NOT
       ELIGIBLE DUE TO TIME-IN-GRADE OR TIME-AFTER-COMPETITIVE APPOINTMENT
       RESTRICTIONS?

A.     Candidates, who will be eligible within 30 days of the closing datu
       of an Announcement will be considered eligible for the time-in-grade
       and time-after-competitive appointment requirements.  However, all
       candidates must meet the basic qualification requirements, including
       any Selective Placement Factors, during the open period of the Merit
       Promotion Announcement.*

*NOTE;  The purpose of the time-in-grade restriction of the Whitten Amendment
is to prevent excessively rapid promotions by specifying minimum periods of
time an employee must occupy a position before becoming eligible for a
promotion.


                                  45

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Q10.   WHAT ARE THE PROCEDURES FOR VOLUNTARY APPLICATIONS?

A.     Agency employees can avail themselves of openings in other EPA
       locations by submitting a current SF-171 and appropriate appraisals
       to the servicing personnel office for that area.  Voluntary applica-
       tions must state the kind of positions for which general consideration
       is desired and will only be accepted from EPA employees in other
       geographic areas.  Voluntary applications are maintained by the ser-
       vicing personnel office for one year.  Then the applicatf.cn is returned
       to the'employee who must resubmit an updated SF-171 and appraisal
       for further consideration.

Qll.   HOW ARE COMPLAINTS ABOUT THE MERIT PROMOTION PROGRAM OR A SPECIFIC
       PROMOTION ACTION HANDLED?

A.     Any question or complaint should be directed first to the servicing
       personnel office.  Often the personnel' office can provide meaningful
       information that resolves the issue.  Those complaints that are not
       satisfied can then be processed through local grievance procedures.
       However, employees should be aware that mere failure to be selected
       when proper procedures were used is not a basis for a formal complaint.
       Any formal complaint will be processed through either Agency or
       negotiated grievance procedures or through the EEO complaint process.

Q12.   WHO CAN ANSWER EMPLOYEE QUESTIONS ABOUT THE PROGRAM?

A.     The Servicing Perosnnel Officer designee.
                                  46

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                        REGIONAL ADMINISTRATOR

 ENVIRONMENTAL

 PROTECTION             ORDER              R3U5>1

 AGENCY
 REGION IX                                       May 8, 1974


 	PERSONNEL - PROMOTION AND PLACEMENT	
                           CAREER PROMOTION

 1.  Purpose.   To establish a program of Career Ladders for
     promotion of employees on a successive basis to the
     highest level of potential in a specific job category.

 2.  Authorization.  Federal Personnel Regulation 335, Sub*
     Chapt.  4.

 3.  Policy.  The individual employees who are selected
     competitively for positions at lower grades, and whose
     performance and responsibilities warrant promotion, may
     be promoted on an ascending grade basis to the full
     potential of their specific job category without further
     competition.

 4.  General.   This program is designed to accommodate
     individual employees who desire to follow a single
     career  ladder in a specific job category and function
     from the  initial phases of their assignment through the
     highest level of non-supervisory performance for their
     specific  job category.

     This program will be operated as an exception to the
     Merit Promotion Program and does not preclude normal
     consideration for other jobs and for higher level
     supervisory positions, once the full potential is reached.
)lst:  B                                                   Initiated by: MGMT

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                                        ORDER
                                                    R3115.1
 5.  Responsibilities.

     a.  Supervisors and Management Officials:

         (1)  Will identify the job categories, number of
              positions and, in conjunction with position
              classification requirements, the highest
              potential grade level for these positions.
              Such factors as work load, space authorizations,
              funds, and average grade, and current employee
              potential, will be used in making these deter-
              minations .

         (2)  Should understand that when assigning individuals
              to grades lower than the full potential of  the
              positions, that duties that comprise the higher
              level must be performed by the supervisor.
              Such duties can then be gradually assigned  to
              the employee on a planned basis, until such
              time as the highest potential is reached.

         (3)  Submit personnel actions with the recommended
              position descriptions to the Personnel Office
              for establishing positions.-  Each personnel
              action must contain the approval of the Division
              Director.

         (4)  Canvas currently assigned employees, identified
              with similar job categories at lower grades to
              determine their interest in being considered
              for this  program.  As all currently assigned
              employees were competitively selected, they may
              be automatically inpluded.  Each employee,
              however,  must be earmarked against an identified
              position  at the higher level.

         (5)  Discuss with each employee assigned to this
              program,  expected performance standards and
              evaluate  and discuss with the employee his
              performance against these standards on an
              annual basis.
PAR 5
                                   -2-

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                                   ORDER
                                                R3115.1
   b.   Personnel  Officer:

       (1)   Will  provide advice, guidance and assistance to
            supervisors and management officials on the
            implementation of  this program.

       (2)   Establish positions by appropriate classification
            action at the highest level of potential.

       (3)   Effect personnel actions as required to implement
            this  program.

       (4)   Orient and/or advise employees on the provisions
            of  this program.

   c.   Employee Responsibility:

       (1)   Discuss with their supervisors their interest
            in  participating in the program.

       (2)   Provide the Personnel Management Officer with
            their opinions of the program and recommend
            suggestions, if any.
Supersession.
superseded.
                 Regional Office Order PER 05-14-73 is
                                 PaulMDe Falco, Jr.
                               Regional Administrator
PAR SB
                             -3-

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                                                              Chapter II
                                                            Subchapter 4
REDUCTION-IN-FORCE

Primary Sources              FPM Chapter 351
                             EPA Order 3110.10 '
Background

Because of changes in programs, lack of funds, reorganization, decease in
work, or the necessity to place a returning employee with reemployment rights,
a Federal agency may have to separate, furlough  for more than 30 days, re-
assign, or demote employees.  Standard reduction-in-force procedures are set
up by the Reduction-in-Force Regulations so that such actions may be carried
out in a fair and orderly way.

Under this system employees compete for retention on the basis of four fac-
tors specified by law.  These four factors are type of appointment (tenure),
veteran preference, total length of civilian and creditable military service,
and performance ratings.  The genral rule is that veterans with "satisfac-
tory" performance ratings are given higher retention standing than nonvet-
erans, but another provision of law withholds veteran preference from certain
retired members of the uniformed services in reduction-in-force and
limits their credit for military service.

Reduction-in-force does not begin or end with separation notices to employees.
The Agency must:

       " Decide the jobs to be affected.  The Agency decision to abolish one
kind of job instead of another is not subject to review by the Civil Service
Commission.

         Determine, according to an equitable formula, which employees will
lose their jobs or change jobs.

         Determine whether employees about to lose their own jobs have rights
to other positions.

       " Issue notices to the affected employees at least 30 days before the
reduction is scheduled to take place.

         Help career and career-conditional employees, who are or will be
displaced, find other jobs.  The Civil Service Commission will cooperate
in this effort through displacement programs.
                                   47

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Role of the Supervisor

Contact the Personnel Office when comtemplating any kind of action which
may result in a reductior-in-force.

Role of the Servicing Personnel Office

Administer the RIF program and provide assistance to managers.
                                  48

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Ql.    CAN AN EMPLOYEE APPEAL A RIF?

A.     Yes.  To the Federal Employee Appeal Authority of Che CSC — not
       later than 15 days after the effective date of the RIF action.

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Chapter III- EMPLOYEE
RELATIONS

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                                                        Chapter III
                                                        Subchapter 1
                                                        Section 1-1
EMPLOYEE RESPONSIBILITIES AND CONDUCT
Primary Sources             FPM Chapter 735
                            EPA Conduct & Discipline Manual
                            Federal Register, Dated 4-17-73
Background

The President's policy, in section 101 of the Executive Order No. 11222,
is based on a recognition that the maintenance of unusually high standards
of honesty, integrity, impartiality, and conduct by Government employees,
and special Government employees through informed judgment is essential to
assure the proper performance of the Government's business and the mainte-
nance of confidence and respect of the citizens in their Government.

Role of the Supervisor

The supervisor is responsible for immediately reporting to the Agency
Counselor or Deputy Counselor any prohibited activity, as well as any
conduct prejudicial to the best interest of EPA or of a nature to bring
discredit upon it.

Role of the Servicing Personnel Office

The Personnel Office is responsible for:

    . Assuring that each new employee is provided with a personal copy of
      the EPA Regulations on Employee Responsibilities and Conduct;

    . Insuring that supervisors call employees' attention to those regula-
      tions at least annually;

    . Providing EPA Form 3120.1 to outside applicants or employees who are
      selected for positions whose incumbents must file Confidential State-
      ments of Employment and Financial Interests and provide the name of
      the Deputy Counselor to whom it must be submitted; and

    . Advising and assisting managers, supervisors, and employees with
      regard to conduct.
                                  51

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Ql.    WHOM MAY I CONTACT ON PROBLEMS AND QUESTIONS REGARDING EMPLOYEE
       RESPONSIBILITIES AND CONDUCT?

A.     The following officials who are designated as Deputy Counselors:

           . Assistant Administrators;

           . Deputy Assistant Administrators;

           . Heads of Staff Offices reporting directly to the Administrator
             or Deputy Administrator; and

           . Regional Administrators.

Q2.    MUST OUTSIDE EMPLOYMENT RECEIVE PRIOR AGENCY APPROVAL?

A.     Yes.  Most outside employment requires the proper approval of the
       appropriate Deputy Counselor.  Such employment may not interfere
       with the performance of your primary Federal job and may not involve
       you in an actual or potential conflict of interest situation or ad-
       versely affect the confidence of the public in EPA or the Government
       as a whole.
                                  52

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                           AUG 2 8 1973
             U. S. ENVIRONMENTAL PROTECTION AGENCY

                          REGION IX

                   PERSONNEL BULLETIN NO. 2
SUBJECT:  Voluntary Separation and Leave Prior to Separation
FROM:     Alex Young
          Personnel Officer

TO:       All Employees

References:  FPM 630; FPM 715; EPA Leave Manual

This is an informational bulletin regarding personnel regulations
and policy on voluntary separation and annual leave prior to
separation.

General

A voluntary separation is a resignation or separation-transfer
in response to an employee's request for the action.  It must '
not be demanded as an alternative to some other action co be
taken or withheld^  The agency shall not obtain the resignation
by^coe r cion , ciur es s , time pressure, intimidation, or deception,
and allow it to remain voluntary.  An employee may, however,
elect to resign rather than face removal procedures.

I.  Resignation

    Effective Date

    General

    An employee is free to resign at any time and to set the
    effective date of resignation.  Regulations do not require
    giving advance notice, however, the employee is certainly
    free to do so.  Normally, two weeks notice has been given.
    The supervisor may point cu.t the desirability of another
    effective data, but may not arbitrarily set an earlier or
    later date and have the action remain a voluntary one.

    PROCEDURES

    Written Resignation

    When an employee wishes to resign, the resignation shall be
    submitted Jn iTxcing on a. Standard Forr. 52  (Fsquost for
    Personnel Action) .  Parts III and IV shall state t^s effective
    da^.i=, the reasons for resigning, signature of employee, date

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                              -2-
    of the form, and fowarding.address data.

    If the resignation is submitted by letter, the supervisor'
    must initiate and note the SF-52 with the reasons for
    resigning and attach the letter.

    The employee responsible for preparing SF-52's for the
    unit shall complete the form and submit the documents
    through appropriate channels to the Personnel Office.

    Oral Resignation

    When an employee declines to submit a written resignation
    or is not available to sign the SF-52, an oral resignation
    must be accepted.  The person (usually the supervisor) who
    receives the oral resignation should record and note the
    SF-52 with the reasons for the resignation, the date*; and
    the names of any witnesses (if any) together with their
    statements if appropriate.

II.  Separation to Accept Other Federal Employment Without a
    Break _in_Service

    Effective Date

    General.  The effective date is the last date the employee
    is carried on this agency's payroll.  Usually it is the
    day preceeding appointment by the other personnel office.

    When an employee is leaving this Regional Office to accept
    employment with another Federal Agency/ or another EPA
    organization serviced by a different personnel office, a
    resignation is not required, unless there will be a break
    in service.

    The supervisor must be properly notified, and the super-
    visor is responsible for promptly initiating and routing
    the Standard Form 52 to separate the employee.  The
    Standard Form 52 is prepared to inform supervisors,
    certain staff members, and the personnel office of the
    proposed separation.-

         (NOTE:  Employee should notify the personnel
          office as soon as a job offer is confirmed,
          and an effective date is- proposed. .Our
          personnel office will coordinate with the
          gaining personnel office to avoid unintended
          breaks in service and/or pay and leave
          complications).

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                               -3-
III.  Annual Leave

      Leave Prior to Separation-Transfer within the^Federal
      Service

      If separation-transfee occurs as described above, the
      granting of annual leave is negotiable.  The employee
      .should coordinate with both the gaining and losing
      supervisors to inform them and assure their agreement.

      The employee's annual and sick leave account balances
      will be transferred to the gaining office upon com-'
      pletion of the personnel action.

      Annual Leave Prior to Separation from Federal Service

      In accordance with the EPA Leave Manual, Chapter 2,
      paragraph 2b(l),..."when it is known in advance that
      an employee will terminate his/her Federal service
      at the end of a requested leave period, annual leave
      shall not be granted^.

      In other words, an employee who is leaving federal
      service may not be carried on the Agency's rolls in
      an annual leave status when he has ceased to .appear
      for work.

      All accumulated annual leave in the leave account
      will be paid in a lump sum to the employee upon final
      separation.

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ENVIRONMENTAL    MANAGEMENT DIVISION
                                                     R3110.5
PROTECTION             ORDER

AGENCY

    REGION IX
             PEHfiQMMCT;— gMPMYMEMT
                    CLEARANCE PROCEDURES

    1.   PURPOSE ;   Establishes clearance procedures for separat-
    ing/trans f err ing employees from EPA Region IX.   Through  the
    Clearance Procedure, employees must account for all outstanding
    custodial obligations or financial indebtedness to the
    Agency before  receiving final salary or lump sum payments.
    Items to be accounted for will include:

         a.   Settlement of all outstanding cash or leave advances
    and other debts to the Agency, including unexpired terms and
    conditions of  outstanding employment agreements.

         b.   The  signing of Security Termination Statement, EPA
    Form 1480-19,  and  execution of ERDA Form 136 for all employees
    who have security  clearances for proprietary, classified or
    sensitive information.

         c.   The  return of all government property in the
    employee's custody including equipment, controlled forms,
    all credit cards (telephone, gasoline, GSA and others),  ID
    cards, library loan materials, keys, uniforms, safety equipment
    and apparel.

    2.   AUTHORIZATION i EPA Order 3110.5

    3.   POLICY:   Clearance procedures are required for all
         employees who:

         a.   Separate or resign from EPA, Region IX.

         b.   Transfer to another government agency, or to
    another EPA office.

         c.   Are  detailed for 3 months or longer to IPA assignments,
    (Intergovernmental Personnel Act)
Dist: B                                                     Initialed by:M-3

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                                 OBD£R        R3110.5
     d.   Leave for longterm training.

They must be cleared by the following:

     - Their supervisor.
     - Financial Management Office.
     - Security Officer.
     - Procurement Office.
     - Supply/Transportation Office.
     • Library.
     - Personnel office.

4.   PROCEDURE;     Employees separating, transferring, or
resigning from~EPA Region IX should notify their supervisors
at least two weeks in advance of their proposed separation
date.

Supervisors must initiate Forms SF-52 and EPA 3110-1 as
follows:

     a.   "Request for Personnel Action,"  Standard Form 52
     (SF-52TT

In accordance with SPA Order 3100.2, "Preparing and Processing
Personnel Actions," supervisors must initiate employee's
request for personnel action on SF-52 and submit it to the
Personnel Office at least two weeks prior to the effective
date of the personnel action.

     b.   "Employee Separation or Transfer Check List,"
Employeg Separation or
(EPA Form 3110-1).
In accordance with EPA Order 3110.5 (Clearance Procedure for
Employees Separating or Transferring from EPA) and this
Regional Order, supervisors are responsible for assisting
separating or transferring employees in obtaining EPA Form
3110-1 and coordinating the clearance of employees.  EPA
Form 3110-1 should be completed and submitted to the Personnel
Office as per instructions printed on the back of the form.
The form will be prepared in 3 copies (original and 2 carbons),

Clearance procedures may be initiated as early as 2 days
prior to the close of business on employee's last day of
work.  Failure to secure appropriate clearance may result in
the withholding of employee's final salary and/or lump sum
payments.

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                                 ORDER
R3L10.5
The Personnel Office will provide the employee with an EXIT
INTERVIEW FORM which may be completed and/or discussed with
a designated member of the Personnel Office prior to employee's
departure.

5.   IPA EMPLOYEES & EMPLOYEES ON LONG TERM TRAINING;

Employees selected for IPA assignments and long-term train-
ing will comply with these clearance procedures except
that they do not relinquish their EPA I.D. cards or have
exit interviews.
                              B. David Clark
                              Director, Management
                           -3-

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                                                        Chapter III
                                                        Subchapter 1
                                                        Section 1-2
DISCIPLINE
Primary Sources             FPM Chapters 751, 715, 771,  752
                            EPA Conduct & Discipline Manual
                            EPA Order 3110.6A Adverse Action
Background

Executive Order 9830 Section 01. 3 (d) places a positive responsibility on
agencies "to remove, demote, or reassign to another position any employee
in the competitive service whose conduct or capacity is such that his
removal, demotion, or reassignment will promote the efficiency of the
service."  Thus, the agency is both empowered and obligated to act when
it determines that action is in order.

     of the Supervisor
The supervisor is responsible for initiating appropriate corrective action
for deficiencies or offenses which fall within the supervisor's work juris-
diction.  All supervisors must be aware of the EPA directive on employee
responsibilities and conduct and of the provisions of Chapters 735 and 751
of the Federal Personnel Manual.

Role of the Servicing Personnel Office

Advising supervisors on all phases of the disciplinary process:

    . Insuring that disciplinary actions are in accordance with law, regu-
      lations, and policies; and

    . Assisting supervisor in preparing disciplinary actions.
                                  53

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Ql.    WHAT ARE COMMON TYPES OF DISCIPLINARY ACTIONS?

A.     Oral Reprimand;

       Written Warning;

       Official Reprimand;

       Suspension;

       Reassignment;

       Demotion; and

       Removal.

Q2.    WHO CAN ANSWER DISCIPLINE QUESTIONS?

A.     The Servicing Personnel Office.

Q3.    BASICALLY WHAT ARE "CAUSES" FOR DISCIPLINARY ADVERSE ACTIONS?

A.     Causes for adverse actions run the entire gamut of offenses; i.e.:
       inadequate performance of duties, improper conduct on or off the
       job.  (See Appendix C of the Conduct and Discipline Manual for more
       details.)

Q4.    WHAT ARE SOME OF THE MOST COMMON ADVERSE ACTIONS?

A.     Suspensions;

       Reduction in rank or pay;

       Furlough without pay; and

       Removal.

Q5.    WHERE CAN I FIND MORE PROCEDURAL INFORMATION ON ADVERSE ACTIONS?

A.     In the Conduct and Discipline Manual.
                                  54

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                                                        Chapter III
                                                        Subchapter 2
                                                        Section 2-1
AGENCY GRIEVANCE PROCEDURE
Primary Sources             Code of Federal Regulations 771
                            FPM Chapter 771
                            EPA Order 3110.7A
Background

The grievance system was established to accord employees who have a com-
plaint or grievance (which is subject to control of agency management or
any matter in which an employee alleges that coercion, reprisal or retalia-
tion has been practiced against him or her) a fair and prompt discussion
with the supervisor Immediately concerned and, failing prompt and satis-
factory informal adjustment, the right to pursue the matter under the formal
grievance procedure.

Role of the Supervisor

Supervisors bear a responsibility to listen attentively and with an open
mind to employee complaints and be willing to seek constructive remedies
where possible.

Role of the Servicing Personnel Office

Upon request, the personnel office will provide advice and guidance to
assist the supervisor in the resolution of employee complaints at the infor-
mal adjustment stage and provide advice, guidance and training on the EPA
Grievance Procedure in general.
                                  55

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Ql.    WHAT IS A GRIEVANCE?

A.     Grievance means a request by an employee, or by a group of employees
       acting as individuals, for personal relief in a matter of concern or
       dissatisfaction which is subject to the control of agency management.

Q2.    ARE THERE ANY PROVISIONS UNDER THE GRIEVANCE SYSTEM THAT SERVE AS
       SAFEGUARDS TO THE EMPLOYEE WHO WISHES TO USE THE SYSTEM?

A.     An employee may use the grievance system concerning matters of con-
       cern or dissatisfaction, without fear of restraint, interference,
       coercion, discrimination or reprisal, as a result of this action.

Q3.    DOES THE EMPLOYEE WHO HAS FILED A GRIEVANCE HAVE THE RIGHT TO
       REPRESENTATION?

A.     An employee has the right to present a grievance without representation.
       He also has the right to be accompanied, represented, and/or advised
       by a representative of his choice at any stage of the proceedings.
Note:  Also see Chapter II, Subchapter 2, Section 2-2 on Negotiated Grievance
       Procedures.
                                  56

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                                                        Chapter III
                                                        Subchapter 2
                                                        Section 2-2
NEGOTIATED GRIEVANCE PROCEDURE
Primary Source              FPM Chapter 771
                            EPA Order 3110.7A
                            EO 11491
                            Negotiated Labor-Management Agreements
Background

A negotiated grievance procedure is a procedure established through a
negotiated agreement between an agency and a labor organization to which
exclusive recognition has been granted.

Role of the Supervisor

Awareness of negotiated grievance procedure - be willing to seek construc-
tive remedies where possible.

Role of the Servicing Personnel Office

Provide technical advice regarding grievance procedures.
                                 57

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Ql.    DO ALL EMPLOYEES AT AN INSTALLATION WITH A NEGOTIATED GRIEVANCE
       PROCEDURE HAVE A RIGHT TO GRIEVE UNDER IT?

A.     No.  Those employees excluded from the official bargaining unit nay
       not grieve under the negotiated grievance procedure, but may grieve
       under the Agency procedure.

Q2.    FOR THOSE WHO DO HAVE A RIGHT TO GRIEVE UNDER THE NEGOTIATED PRO-
       CEDURE, ARE ALL THINGS GRIEVABLE?

A.     Only those things which are specifically covered by your installation's
       negotiated procedure are grievable under it.


Note:  Also see Chapter III, Subchapter 2, Section 2-1, Agency Grievance
       Procedure.
                                  58

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                                                        Chapter III
                                                        Subchapter 3
ADVERSE ACTIONS AND APPEALS

Primary Sources             FPM Chapter 752
                            FPM Chapter 754
                            FPM Chapter 772
                            EPA Order 3110.6A
Background

An adverse action is a disciplinary or non-disrljilinary removal, suspension,
furlough w*ithout pay, or reduction in rank or pay.  On the basis of Section
7701 of Title 5, U.S. Code and Executive Orders 11491 and 11787, most Gov-
ernment employees - non-veterans as well as veterans - art- entitled to
appeal agency adverse actions to the Civil Service Commission.

Role of the Supervisor

Responsible for initiating adverse actions resulting from deficiencies or
offenses which fall within the assigned work Jurisdiction.  Note:  No adverse
action may be taken by any supervisor without prior consultation with the
Personnel Office.

Role of the Servicing Personnel Office

The Personnel Office is responsible for assuring that the notice of proposed
adverse action and the notice of decision on an adverse action conform to
laws, regulations, and Agency policy; and for assisting supervisors In pre-
paring the notices.
                                  59

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Ql.   WHAT ARE THE VARIOUS  STEPS IN  THE ADVERSE ACTION  APPEAL SYSTEM?

A.
                                         PROPOSAL
                                         EMPLOYEE
                                          REPLY
                                                     AGENCY REVIEW
                                          AGENCY
                                         DECISION
                                       APPEAl TO CSC
                                         HEARING
                                       (IF REQUESTED)
                                          DECISION
                               ADMINISTRATIVE REMEDIES EXHAUSTED
                                      RECONSIDERATION DY
                                     APPEALS REVIEW BOARD
                                      (LIMITED GROUNDS)
                                        REOPENING BY
                                        COMMISSIONERS
                                       (DISCRETIONARY)
                                         THE COURTS
                                             60

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Q2.    DOES FILING AN APPEAL POSTPONE THE EFFECTIVE DATE OF THE ADVERSE
       ACTION?

A.     No.


Q3.    IS THE EMPLOYEE RESPONSIBLE FOR EXPENSES INVOLVED IN PREPARING THE
       APPEAL?

A.     Yes.

Q4.    MAY AN EMPLOYEE OR AGENCY REQUEST A REOPENING OF A CASE BY THE APPEALS
       REVIEW BOARD?

A.     Yea, the bases for review are, however, limited.  The Appeals Review
       Board will reopen and consider a case only when it is shown, in
       writing:


           . that there is new and material evidence not available previously;

           . that the decision contains an erroneous interpretation of law
             or misapplication of established policy; or

           . that new or unsettled policy questions are involved.
                                   61

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ENVIRONMENTAL   REGIONAL ADMINISTRATOR

PROTECTION                ORDER

AGENCY
 REGION IX
R3380.1A
                                                          July  23, 1974
                                LEGAL - LITIGATION
                   COMMUNICATIONS  REGARDING PENDING LITIGATION


    1.  Purpose.  To direct and control written and/or oral  communications regarding
    matters Involved in pending litigation, with persons who are parties thereto.

    2.  Scope.  Contacts between Agency personnel and those  persons who are parties
    to or have an Interest in pending litigation with EPA or a third party can
    potentially prejudice the position of the Agency as well as subject opposing
    Counsel to disciplinary action.

    3.  Order.  For clearance, approval and concurrence prior to engaging In any
    exchange of communication, whether or not EPA is formally a party to the action.
    all staff shall refer any written or oral inquiry, request for meeting and
    correspondence relating to pending litigation to the Office of Regional Counsel.
    Furthermore, if written materials or documents are requested of the Agency, the
    person who receives the request shall ask that such request be in writing and
    shall refer such request to the Office of Regional Counsel for determination.

    4.  Exception.  Where enforcement litigation initiated by EPA and/or proceedings
    are involved, such references shall be to the Chief, Proceedings Branch,
    Enforcement Division.
    5.  Supersession.  Regional Order R3380.1, June 12,  1974, is hereby superseded.
                                             De Falco, Jr.
                                            onal Administrator
                                                                   Initiated by:

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                                                        Chapter III
                                                        Subchapter 4
                                                        Section 4-1
FAIR LABOR STANDARDS ACT
Primary Sources             Public Law 93-259
                            FPM Letters 551-1 through 551-10.
Background

Federal agencies came under the Fair Labor Standards Act (FLSA) on May 1,
1974.  The most important part of the new law for Federal employees is the
overtime provision.  The FLSA provides that no employer shall "suffer or
permit" any "nonexempt" employee to work more than 40 hours a week with-
out overtime at one and one-half time the regular rate of pay.  Because
FLSA does not remove employees from the pay provisions of Title 5, U.S.C.,
pay must be computed under both laws so employees may receive the greatest
benefit.

Role of the Supervisor

It is important to emphasize that the FLSA does not in any way diminish
a supervisor's responsibility for ordering or authorizing overtime work.
The FLSA simply adds an additional supervisory responsibility, i.e., to see
to it that overtime is not, in fact, performed except when payment for such
overtime is intended.  Supervisors must keep accurate records concerning
the hours worked by their "nonexempt" employees.  Greater management planning
for overtime work and travel is now required because past overtime budgets
did not consider FLSA requirements.  Managers should more closely review the
necessity of field trips.  Trips should be scheduled to avoid requiring
more than 40 hours of work per week if it is possible to accomplish the
mission without excessive overtime costs.

Role of the Servicing Personnel Office

The Personnel Office is responsible for:

   . Identifying all nonexempt employees and advising supervisors on in-
     terpretation of Civil Service regulations; and

   . Assisting supervisors in solving problems relating to the FLSA.
                                  62

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Ql.    WHICH EMPLOYEES ARE "NONEXEMPT"?

A.     In general they include technicians, clerical and wage employees.
       Professional employees below GS-9 are also nonexempt.

Q2.    DOES TRAVEL TIME COUNT AS "HOURS WORKED"?

A.     All travel time during regular working hours is considered hours
       worked.  Likewise, all travel time as a passenger on a one-day
       assignment or which involves the performance of work while traveling
       is considered hours worked.  For this purpose, a traveller who serves
       as a driver of a vehicle is considered to be performing work.  Add-
       itionally, travel time as a passenger, which results in the employee
       being away from the official duty station overnight, is considered
       hours worked if traveling occurs during regular working hours on
       regular workdays or during corresponding hours on non-work days.  To
       illustrate, a GS-5 nonexempt engineer must travel on an Inspection
       trip from Philadelphia to Washington, D.C.  He drives his own car,
       leaving Sunday night at 7 p.m. and spends 3 days away from Philadel-
       phia.  His regular tour of duty being 8 a.m. to 4:30 p.m., the employee
       is considered to have been working during his drive and therefore his
       hours are to be included, along with other work time, in determining
       his entitlement to overtime pay.  Consider that had this same employee
       been directed to travel by train or commercial plane during the same
       hours, he would not have been considered as working.

Q3.    WHEN A NONEXEMPT EMPLOYEE IS ON A FIELD ASSIGNMENT, AND NO WORK IS
       PERFORMED FOR THAT DAY (SUCH AS SATURDAY OR SUNDAY), IS THE PERSON
       STILL CREDITED FOR WORKING THAT DAY?

A.     No.

Q4.    IF MANAGEMENT APPROVES TRAINING FOR NONEXEMPT EMPLOYEES AFTER NORMAL
       WORKING HOURS, IS THE EMPLOYEE ENTITLED TO OVERTIME PAY?

A.     No.

Q5.    FIELD WORK MAY REQUIRE 10 TO 12 HOURS WORK ONE DAY, WHILE THE NEXT
       DAY REQUIRES 4 TO 6 HOURS WORK.  MAY SUCH WORK BE PERFORMED ON A
       FLEXIBLE WORK DAY WITHOUT PAYING OVERTIME?

A.     Overtime entitlement under FLSA does not accrue until the nonexempt
       employee has completed 40 hours work in a week; however, the overtime
       and compensatory time rules under existing Federal pay laws still
       apply.  See the EPA Pay Administration Manual, Chapter 4 to verify
       if specific employees require overtime pay for work over eight hours
       per day.
                                  63

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Q6.    MAY EMPLOYEES BE GRANTED COMPENSATORY TIME IN LIEU OF OVERTIME PAY?

A.     Yes, compensatory time is allowed for nonexempt employees who request
       it in writing in lieu of overtime pay, unless the employee is entitled
       to a greater amount of pay under FLSA.  For example, if an employee
       is entitled to overtime compensation on the basis of FLSA but not
       under Title V, then the employee must receive the overtime compensa-
       tion and cannot request that compensatory time be granted.  Entitle-
       ment may be greater under FLSA for nonexempt employees who travel.
                                   64

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                                                        Chapter III
                                                        Subchapter 4
                                                        Section 4-2
FREEDOM OF INFORMATION
Primary  Sources             EPA Order No. 1550.IB
                            Federal Register. Volume 40, No. 167,
                              August 27, 1975
                            5USC 552 as amended by Public Law 93-502,
                              February 19, 1975.
Background

The Freedom of Information Act, dating from 1966, was amended In 1974 to
strengthen the program and clarify specific provisions.  The Act, which
applies to records in the Executive Branch of government only, provides
that records requested with sufficient particularity to be identifiable
will be made available to the public unless they fall within one of the
statute's nine specific exemptions.  The requestor need not show need or
purpose.  Exemptions may not be applied to requests from Congress or a
Committee of Congress.
                     V.
Role of the Supervisor

Supervisors are responsible for handling the public's requests, for recog-
nizing the public's "right to know" about most government activities, and
for helping carry out the Federal policy of the "fullest responsible dis-
closure" in a timely fashion.  Generally speaking, records which may be
exempted from release include those related to:

    . Internal personnel rules and practices;

    . Personnel and medical files (except where the requestor wants his/
      her own file);

    . Certain interagency and intra-agency memorandums;

    . Properly classified national security information;

    . Law enforcement investigatory materials;

    . Privileged or confidential information such as trade secrets and
      confidential business information;

    . Matters specifically exempted by some other statute;
                                   65

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    . Audits of financial Institutions; or

    . Geological naps and data on wells.

Remember that If material falls within an exemption, the information need
not necessarily be withheld, but may be disclosed at the discretion of the
Agency unless strictly prohibited by another statute.

Role of the Servicing Personnel Office

Just as any other organization within EPA, the Personnel Office bears
responsibility for responding to requests for information within their
domain.  Because of the nature of records maintained by Personnel, the
requests received by this office may impact significantly upon employees
throughout the Agency.
                                  66

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Ql.    IS THERE A CENTRAL CONTROL FOR AGENCY FREEDOM OF INFORMATION
       REQUESTS?

A.     Yes.  The Executive Officer,  Office of the Administrator,  is desig-
       nated as the Agency's Freedom of Information Officer,  and  all FOI
       requests are to be routed through this office via Executive Communi-
       cations or through the regionally designated Freedom of Information
       Office, where appropriate.  Because of legally defined time frames
       and procedures, it is particularly important that proper mail control
       of these requests is achieved.
                                  67

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                                                        Chapter III
                                                        Subchapter 4
                                                        Section 4-3
PRIVACY ACT
Primary Sources             Privacy Act of 1974, P.L.  93-579,
                              December 31, 1974
                            Federal Register,  Volume 40. No.  224,
                              November 19, 1975
                            FPM Ltr. No. 297-1, October 31, 1975.
Background

The Privacy Act of 1974 (5U.S.C. 522a) became effective September 27,  1975.
The purpose of the Act is to give individuals the right to review records
about them that are maintained by agencies and to prescribe rules for  the
collection, use, and exchange of information about individuals.

Role of the Supervisor

Any supervisor who uses personal data must be aware of his/her obligations
under the Act and provide safeguards against invasions of personal privacy.
You have an obligation to insure that those affected are aware of personal
data you collect and use in the management of your function and that you
provide them the right of access to information pertaining to them in  Agency
records, the right to have a copy made of their records, and the right to
correct or amend their records.

Since the Agency must publish annually in the Federal Register a list  and
description of their record systems that contain such personal information
and may only collect such information as is relevant and necessary to  carry
out a purpose required by statute or Executive Order, you must be sure you
do not collect personal data without proper authorization or Federal Regis-
ter notice and that when collecting authorized personal data you fully inform
Individuals as to the enabling authority, uses to which the information will
be put, whether or not the response is mandatory or voluntary, and the effects
of nondisclosure.  As a further safeguard, you must keep records of any dis-
closures that have been made of individual records.

Role of the Servicing Personnel Office

Since the preponderance of personal information is maintained by Personnel
or at least related to its function, the Federal government has established
specific procedures and regulations to protect an individual's privacy with
regard to personnel records.  Since these are highly technical, it is
recommended that supervisors seek the counsel of Personnel in making deter-
minations as to the proper collection, retention, and disclosure of personal
information.

                                   68

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Ql.    ARE THE NOTES MANY SUPERVISORS KEEP COVERED BY THE PROVISIONS OF THE
       PRIVACY ACT?

A.     The informal personal notes, papers, or records that many supervisors
       keep to jog their memory on the performance, conduct, and development
       of the employees they supervise are not considered Agency records
       for purposes of the Privacy Act and are thus exempt.  These notes,
       however, may not be disseminated or circulated to any other person (ex-
       cept the subject individual of course) or to any organization.  Retained
       and discarded solely at the discretion of the supervisor, these notes
       may be used in the preparation of formal personnel actions.  Such
       formal personnel actions would, of course, be subject to the Privacy
       Act and should not be retained along with the supervisor's notes but
       in discrete formal files.  Should any one of these supervisory note
       provisions be ignored, the notes would become an Agency system of
       records subject to the Privacy Act.

02.    WHAT IF I AS AN EMPLOYEE MAKE AN ERROR IN DISCLOSING PERSONAL INFOR-
       MATION?

A.     The law provides that Agency employees who make willful, erroneous
       disclosures may be held liable under the law and may be subject to
       financial penalties.  Only those who have so acted in a knowing and
       willful manner are subject to these sanctions.
                                   69

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Chapter IV- EMPLOYEE BENEFITS

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                                                        Chapter IV
                                                        Subchapter 1
ABSENCE AND LEAVE

Primary Sources             FPM Chapter 630
                            EPA Leave Manual
                            Chapter 63 of Title 5
Background

The basic statute governing the Federal leave system is chapter 63 of Title
5, United States Code.  Agency managers and supervisors are responsible by
law for controlling absence and leave so that all employees use leave
according to legal requirements and without abuse of leave privileges.

Role of the Supervisor

Approving various types of leave for the employees whom they supervise unless
they are notified in writing that the authority is retained at a higher
organizational level.

Advising employees on leave matters.

Planning with employees for the use of annual leave so that leave is not
forfeited.

Assuring that absences are properly charged.

Establishing appropriate measures to control absenteeism.

Identifying abuse of leave and taking corrective action.

Role of the Servicing Personnel Office

Assisting supervisors by interpreting Agency guidelines and advising them
on leave problems.
                                   71

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Ql.    HOW IS ANNUAL LEAVE ACCRUED?

A.     Annual leave is accrued as follows:

              Leave Accrued                       Years of Service

       4 hours per pay period                      0-3 years
       6 hours per pay period                      3-15 years
       (plus 4 hours at end of leave year)
       8 hours per pay period                      15-years and over

Q2.    HOW IS SICK LEAVE ACCRUED?

A.     Sick leave is accrued at the rate of four hours per pay period.

Q3.    HOW MUCH LEAVE CAN BE ACCUMULATED?

A.     Normally, only 30 days of annual leave can be carried forward into
       the next leave year.  There is no limitation on the amount of sick
       leave that can be carried forward.

Q4.    WHEN CAN MORE THAN 30 DAYS ANNUAL LEAVE BE CARRIED FORWARD INTO A
       NEW LEAVE YEAR?

A.     In rare cases, a special account can be set up to restore leave which
       has been forfeited and which cannot be used before the end of the
       leave year.  Leave in this account should be used within 6 months if
       possible.  Leave can be restored when it has been forfeited:

       because of administrative error;

       because an employee is required by an exigency of the public business
       to remain on duty when leave has already been approved; or

       because of illness or injury.   (See Leave Manual for more details on
       mandatory documentation and time requirements.)

Q5.    WHEN CAN ANNUAL LEAVE BE USED?

A.     Annual leave can be used as soon as it as accrued and should be granted
       freely when employees can be spared from their  duties.  The supervisor
       and employees should plan leave requests together so that work will
       not be disrupted and no employee will have to forfeit leave.

Q6.    WHEN CAN SICK LEAVE BE TAKEN?

A.     Sick leave is available only for absences necessary for the  following
       reasons:

            . Illness, injury, pregnancy,  and confinements;

            . Medical, dental or optical examinations or treatment;  and
                                    72

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           . When an employee must care for a family member with a contagious
             disease or when through exposure to a contagious disease the
             employee's presence at work could jeopardize the health of other
             employees.

Q7.    WHAT ARE THE EPA PROVISIONS GOVERNING ADVANCED LEAVE?

A.     Most employees may be granted leave which will be earned by the end
       of the current leave year.  If separation or retirement is anticipated
       during the current leave year, only leave which will be earned by the
       time of the anticipated departure can be advanced.

       All leave restored to an employee in a separate account should be
       used before any annual leave may be advanced.  Advanced sick leave can
       be granted without regard to annual leave which the employee has
       accrued, but is subject to a number of constraints which can be found
       in Chapter 3 of The EPA Leave Manual.
                                   73

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               UNITED STATES ENVIRONMENTAL PROTECTION AGENCY


SUBJKCT:  Approval of Advanced Leave ^                 DATE:   (CE C  t 1S76


   M:    Regional Administrator


TO:      All Supervisors

        References:  FPM 630
                    EPA Leave Manual


        Advanced leave is defined as leave not yet earned, and granted
        to the employee prior to his/her earning such leave.  Advanced
        leave may be either annual or sick.

        Advanced Annual Leave:  All employees eligible for annual
        leave may be granted the use of annual leave which is anti-
        cipated to be earned by the close of the current leave year.
        In addition, only the amount of leave which will be earned
        prior to an anticipated date of separation, retirement, or
        during the remainder of the current leave year may be advanced.

        Procedure:  Employees who wish to apply for advanced annual
        leave of 80 hours or less must do the following:

            1.   Submit a SF-71 for the concurrence of the immediate
                 supervisor.

            2.   SF-71 will then be submitted to the Division Director/
                 Staff Office Chief who have the authority to approve
                 up to 80 hours of advanced annual leave.

            3.   SF-71 will then be given to timekeeper for processing.

        All requests for advanced annual leave over 80 hours will be
        processed as follows:

            1.   Submit a SF-52, SF-71 with reason 'for advanced leave •
                 request through supervisory channels to Personnel
                 Officer.

            2.   Personnel Officer will review request for compliance
                 with personnel regulations, provide advice and guidance
                 to supervisors where necessary, and make recommendations
                 to the Regional Administrator.

            3.   Regional Administrator will approve/disapprove the
                 request.
EPA Pom 1370.« (fe.. 6.72)

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                             - 2 -

    4.   SF-52 and any supporting documents will be filed in
         employee personnel file and a copy will be given to
         the timekeeper for processing.

Advanced Sick Leave;  In cases of serious disability or
ailment or when the particular situation warrants it, employees
may be granted advanced sick leave.  Employees are not required
to use up their annual leave prior to the granting of advanced
sick leave.

Limitations;

    a)   The absence because of illness must be for a period
         of five or more consecutive workdays, but the actual
         advance of sick leave may be for any 'part of the total
         absence.  In unusual cases as determined by the Per-
         sonnel Officer, advanced sick leave may be granted
         for an absence of less than five days, or for partial-
         day absence when an employee is convalesing from
         illness and is not able to work a full day.

    b)   The amount of sick leave advanced may not exceed the
         amount required to cover the period of illness.

    c)   The maximum amount of sick leave which may be advanced
         to full-time employees who have completed a year's
         service in the Federal government is 30 days.  In the
         event of another serious illness before liquidation
         of the original advance, an additional advance may
         be authorized not to exceed a total deficit of 30
         working days subject to the same restrictions that
         applied to the original advance.

    d)   Part-time employees who have a regular tour of duty
         may be advanced sick leave on a prorata basis.

    e)   The amount of sick leave which may be advanced to
         full-time employees serving probationary or trial
         periods  (the first year) shall not exceed an amount
         which will be earned during the remainder of the
         first year.

    f)   The total amount of sick leave which may be advanced
         to an employee serving under a limited appointment
         shall not exceed the amount that he/she will earn
         during the remaining period of the appointment.

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                             - 3 -

    g)    Advanced sick leave will not be granted to an employee
         when it is known or when available information indicates
         that he does not intend to return to work or that his
         return is only a remote possibility.  (48 Comp. Gen. 676)

    h)    Advanced sick leave will not be granted to an employee
         who is absent because a member of his family has a
         contagious disease.

    i)    Advanced sick leave will not be granted to an employee
         who has filed, or for whom the Agency has filed, an
         application for disability retirement, or who has
         signified his/her intention of resigning for
         disability.

Procedure;  Employees who wish to apply for advanced sick leave
of 80 hours or less must do the following:

    1.    Submit a SF-71 and doctors statement for the concurrence
         of the immediate supervisor.

    2.    Request will then be submitted to Division Director/
         Staff Office Chief who have the authority to approve
         up to 80 hours of advanced sick leave.

All requests for advanced sick leave over 80 hours will
be processed as follows:

    1.    Submit SF-52, SF-71, doctors statement through super-
         visory channel to-Personnel Officer.

    2.    Personnel Officer will review request for compliance
         with personnel regulations, provide advice and guidance
         to supervisors where necessary, and make recommendations
         to Regional Administrator.

    3.   Regional Administrator will approve/disapprove request.

    4.   SF-52 and any supporting documents will be filed  in
         employee personnel file and copy given to the  time-
         keeper for processing of timecard.

Employees having advanced  leave credited to  their account  and
separates from EPA will be  required to reimburse EPA in  full  for
the amount advanced.

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               UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                REGION IX - PERSONNEL BULLETIN NO.  630-1

SUBJECT:  LEAVE WITHOUT PAY                            DATE: SEPT. lr 1977


FROM:    PERSONNEL OFFICER


TO:      ALL EMPLOYEES

        References:: FPM 630; FPH 990-2.630; EPA LEAVE MANUAL.


  1.  Q:  WHAT IS LEAVE WITHOUT PAY?

      A:  Leave without pay  (LWOP) is a  temporary nonpay status  and
  absence from duty that may be granted  upon the employee's  request.


  2.  Q:  DO EMPLOYEES HAVE A RIGHT TO LEAVE WITHOUT PAY?

      A:  No.  Granting leave without pay is a matter of administra-
  tive discretion.  An employee cannot demand -that  he/she  be granted
  leave without pay as a matter of right, except in the case of  -

          (a)  disabled veterans who are entitled,  under certain
          conditions, to leave without pay for medical treatment
          (must furnish appropriate medical statements),   and

          (b)  reservists and National Guardsmen who are entitled
          to leave without pay, if necessary, to perform military
          training duties  (must furnish  copy of their military
          orders).


  3.  Q:  WHAT IS THE MINIMUM PERIOD CHARGED TO LWOP?

      A:  The minimum charge is one hour of leave without  pay when
  brief absences are approved and employee's annual/sick leave accounts
  are depleted.


  4.  Q:  IS ABSENCE WITHOUT LEAVE (AWOL) THE SAME  AS LEAVE  WITHOUT
          PAY  (LWOP)?

      A:  No.  These two absences should not be confused.

          - Leave Without Pay (LWOP) is  APPROVED absence without pay
  usually requested/applied for in advance![LW3P  is the  charge when
  employee has no annual/sick leave balance). See Question #3.
 EPA him 13M4 (Rn. 6>72)

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                                - 2 -

R.IX - PERSONNEL BULLETIN NO. 630-1

4.  (continued)

         - Absences Without Leave (AWOL) is a nonpay status which
results when a supervisor determines that he/she will not grant any
type of I6ave  (sick, annual, or leave without pay) to an employee
for a period of absence for which advance authorization was not
obtained or for which a request for leave had been denied.  Repeated
absences charged to AWOL has an adverse effect on an employee's
record and can result in suspension or other disciplinary action.


5.  Q:  WHAT IS EXTENDED LEAVE WITHOUT PAY?

    A:  It is a leave of absence expected to exceed 30 days.


6.  Q:  HOW LONG MAY AN EMPLOYEE BE IN AN EXTENDED LEAVE WITHOUT
        PAY STATUS?

    A:  The maximum initial period for which leave without pay may
be authorized is 12'months.  (This does not apply to employees on
leave without pay during temporary assignments to State/local govern-
ments) .


7.  Q:  MAY AN EMPLOYEE REQUEST RESTORATION TO DUTY BEFORE THE END
        OF THE APPROVED LWOP PERIOD?

    A:  The Agency is not obligated to restore an employee to duty,
at his/her request, before the end of an approved period of LWOP.
If the conditions for which an employee requested LWOP change before
the end of the leave period, he/she may request restoration to duty.
The supervisor having authority to approve leave without pay will
consider the request and notify the employee of the approval or
disapproval.


8.  Q:  WHAT ARE SOME RESTRICTIONS BEFORE USE OF LEAVE WITHOUT
        PAY MAY BE ALLOWED?

    A:  Employees must use all their annual leave before being
allowed to use leave without pay.   Exceptions may be authorized
for particularly unusual cases.

        - Temporary employees will not be granted extended LWOP.

        - Temporary employees will not be granted leave without
          pay for maternity reasons.

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                                - 3 -

R.IX - PERSONNEL BULLETIN NO. 630-1


9.  Q:  WHAT FACTORS WILL BE CONSIDERED IN EVALUATING REQUESTS
        FOR EXTENDED LEAVE WITHOUT PAY?

    A:  Before extended leave without pay is approved, there
should be reasonable expectation that the employee will return
to duty in an active, productive capacity at the end of the
approved period.  Managers and Supervisors who are delegated
the authority to approve extended leave without pay must examine
closely each request for LWOP to assure that the value to the
Agency or the serious needs of the employee are sufficient to
offset certain costs and administrative inconveniences to the
Agency.  Among these costs and inconveniences are:

       (a)  Encumbrance of a position which cannot be filled
            on a permanent basis;

       (b)  Loss of services which may be needed in the organization;

       (c)  Obligation to provide active employment at the end
            of the approved leave period;

       (d)  Creditable service of six months of each year toward
            retirement;  and

       (e)  Eligibility for continued coverage of Health Benefits
            and Life Insurance without cost to the employee for
            up to one year of nonpay status.

In addition, it should be apparent that at least one of the following
benefits will result:

       (a)  Increased job ability;

       (b)  Protection or improvement of employee's health;

       (c)  Retention of a desirable employee, such as one with
            special skills or knowledges;  or

       (d)  Furtherance of a program of interest to the Government.

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                                - 4 -

R.IX - PERSONNEL BULLETIN NO. 630-1
10.  Q:  WHAT ABE SOME EXAMPLES OF THE TYPES OF CASES FOR WHICH
         APPROVAL OF EXTENDED LEAVE WITHOUT PAY WOULD BE
         APPROPRIATE?

     A:  Some examples of the types of cases for which approval
of extended LWOP would be proper, all other factors being
favorable, are :

          (a)  For full-time study or research in a line of work
              which is being performed by the agency.  (Require-
              ment to deplete annual leave account does not apply),

          ; .•".  *"~u<- lecoveiy from lioness or disability not of a
              permanent or disqualifying nature; after all sick
              and annual leave have been exhausted.

          (c)  To protect employee status and benefits during any
              period pending action by the Office of Workers'
              Compensation Programs (OWCP) of the Department of
              Labor on a claim resulting from work-related injury
              or illness.  (Employees should consult the Personnel
              Office as to whether it is to their advantage, in a
              particular case, to use all sick or annual leave
              before leave without pay).

          (d)  To protect employee status and benefits during any
              period pending final action by the Civil Service
              Commission on a claim for disability retirement,
              after all sick and annual leave have been exhausted.

          (e)  To allow continuity of service for career or
              career-conditional employees who, upon request,
              may be granted up to 90 days leave without pay
              to seek Federal employment eIsewhere because they
              are dependents of servicemen or of Federal employ-
              ees who are subject to rotation of assignment or
              transfer of function.  {Requirement to deplete
              annual leave account does not apply).


11.  Qi  MAY AN EMPLOYEE LATER CONVERT PREVIOUSLY GRANTED LWOP
         TO ANNUAL OR SICK LEAVE?

     A:  No.  If an employee applies for and is granted leave
without pay, the period of leave may NOT at any time thereafter
be converted to annual or sick leave unless the circumstances
are covered by other provision of the FPM; such as. Federal
Employees' Compensation Act, etc.

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                                 -  5  -

 R.IX -  PERSONNEL BULLETIN NO.  630-1


 12.   Q:  WHO  IS  AUTHORIZED TO  APPROVE  LEAVE WITHOUT  PAY?

      A:  The  authority  to approve  leave  varies within  each  Division.
 Generally,  first line supervisors  are  authorized  to  approve various
 types of leave up to two  weeks unless  they are notified  in  writing
 that the authority to approve  leave  or leave  in excess of 2 weeks  is
 retained at a higher organizational  level.   (Supervisors:   See  your
 Delegation  of Authority for Personnel  Management  Checklist)


 13.   Q:  WHAT IS THE PROCEDURE FOR REQUESTING LWOP FOR THIRTY
         (30)CALENDAR DAYS OR LESS?

      A:  Requests for LWOP for 30  calendar days or less  must be
 submitted and approved  on an Application for  Leave,  SF-71.   The
 form is not required for  absences  of three days or less  unless
 the  supervisor requests SF-71  be prepared.  Time  and Attendance
 Reports  (Time-cards) must indicate the exact  dates of  approved
 leave without pay.

 14.   Q:  WHAT IS THE PROCEDURE FOR REQUESTING LWOP FOR PERIODS
         EXCEEDING 30 CALENDAR DAYS?

      A:  Requests for LWOP  exceeding 30  calendar  days  or extensions
 of originally approved  requests which  exceed  a combined  total of
 30 calendar days,  must  be  supported by an Application  for Leave,
 SF-71, and  a  signed statement  by the employee justifying the request
 for  leave.  If the request  is  due  to illness  or disability,  a medical
 certificate must be submitted  indicating the  need for  leave, and
 approximate date he/she would  be able  to return to duty.

 The Supervisor will attach  the documents to a completed  Standard
 Form  52, Request for Personnel Action, indicating inclusive dates
 of LWOP, obtain  approval of Staff/Division Director and  submit  forms"
 through channels  to the Personnel  Office.  The Personnel Officer
will  assure that  the approved  request  conforms with existing regu-
 lations.

Upon  RETURN TO DUTY status  from leave without pay, the Supervisor shall
submit SF-52  through channels  to the Personnel Office showing
 "Return to Duty" and date of return.

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                                - 6 -

B.IX - PERSONNEL BULLETIN NO. 630-1


15.  Qs  WHAT FORMS MUST BE SUBMITTED WITH AN EMPLOYEE'S WRITTEN
         REQUEST FOR LEAVE WITHOUT PAY WHEN RELOCATING IN ANOTHER
         GEOGRAPHICAL AREA?   (See Question HO, Answer (e)).

     A:  Two Standard Forms-52, Request for Personnel Action are
required and must be submitted together through channels to the
Personnel Officer:

         a.  First SF-52 requesting "Leave Without Pay" must
             contain the following information1::

             - inclusive dates of the LWOP (not to exceed
             90 days);

             - reasons for the request and a statement that
             "Resignation" will take effect at end of LWOP
             period if a transfer is not effected.

         b.  Second SF-52, stating "Resignation" with the
             effective date as the last day of LWOP.  The
             SF-52 must also contain the reasons for Resig-
             nation and Forwarding Address.  The resignation
             is processed only if Federal employment is not
             obtained prior to the last day of approved LWOP;
             otherwise, the SF-52 will be processed as a
            11 Separation-Transfer" when the gaining Federal
             agency officially notifies this Personnel Office
             of the effective date of employee's Appointment/
             Transfer.


16.  Q:  HOW DOES ABSENCE IN A NONPAY STATUS EFFECT AN
         EMPLOYEE'S OTHER BENEFITS AND PRIVILEGES?

     A:  Some of employee's benefits/privileges effected by
absences without pay are:

         PROBATIONARY PERIOD

         LWOP in excess of a total of 22 workdays extends the
Probationary Period by an equal amount of time in a pay status.

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                                 - 7 -

 P. IX - PERSONNEL BULLETIN NO.  630-1


 16.   (continued)

          LEAVE ACCRUAL

          In any pay period,  when a full-time employee's absence
 in  a non-pay status equals the base pay hours in the pay period
 (80  hours)  his/her annual and  sick leave credits are reduced by
 the  amount  he/she earns.   LWOP balances of less than the base
 hours (80)  in a pay period are not carried forward into the next
 leave year.

          WITHIN GRADE INCREASES

          When an  employee's  nonpay status exceeds, in the aggreg-
 ate,  the  following amounts -

          -  two workweeks  in  the waiting period for
            rates  2,  3,  and 4;

          -  four workweeks i.. the waiting period for
            rates  5,  6,  and 7;

          -  six workweeks  in  the waiting period for
            rates  8,  9,  and 10,

 he/she  shall  make  it up with creditable service before  his/her
 next  within grade  increase is  effected.   There must be  sufficient
 creditable  service to complete  the waiting period.

          HOLIDAYS

          If an  employee's  LWOP  has been approved through  a  date
which is  a legal holiday,  the employee  is  on  LWOP on the  holiday
 even  if he/she  returns  to  work  the day  after  the holiday.

          OVERTIME

          For  a  period of LWOP,  overtime  rates  would not apply
unless paid hours  exceed  8 hours  in a workday.or 40 hours in a
basic workweek.

          CREDITABLE  SERVICE

          LWOP which  exceeds  6 months in  the aggregate in any
calendar year is not counted as creditable service  for purposes
of Retirement. Annual Leave Earnings, and  Reduction  in Force
 (length of service).                      	

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                                - 8 -

R.IX - PERSONNEL BULLETIN NO. 630-1


We cannot possibly answer in this Bulletin all questions that
could come up during employment in-as-much as circumstances vary
in individual cases.  We have tried to address those circumstances
and questions which are most common and frequently asked.

Any further inquirie's regarding this bulletin may be directed
to Leatrice Perez, Personnel Office, 556-0961.

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           . When an employee must care for a family member with a contagious
             disease or when through exposure to a contagious disease the
             employee's presence at work could jeopardize the health of other
             employees.

Q7.    WHAT ARE THE EPA PROVISIONS GOVERNING ADVANCED LEAVE?

A.     Most employees may be granted leave which will be earned by the end
       of the current leave year.  If separation or retirement is anticipated
       during the current leave year, only leave which will be earned by the
       time of the anticipated departure can be advanced.

       All leave restored to an employee in a separate account should be
       used before any annual leave may be advanced.  Advanced sick leave can
       be granted without regard to annual leave which the employee has
       accrued, but is subject to a number of constraints which can be found
       in Chapter 3 of The EPA Leave Manual.
                                  73

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                                                        Chapter IV
                                                        Subchapter 2
                                                        Section 2-1
HEALTH BENEFITS PROGRAM

Primary Source              FPM Chapter 890
Background

The Federal Employees Health Benefits Act was approved in 1959.  This
program is a voluntary program open to all employees, except those who
have temporary appointments, or who are employed on a seasonal or in-
termittent basis.  Employees who elect to enroll in the health benefits
program share the cost of their coverage with the Government via biweekly
payroll deductions.

Role of the Supervisor

Awareness of the program.

Role of theServicing Per^sonnel Office

Administration of the Program.

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Ql.    IS ENROLLMENT IN THE HEALTH BENEFITS PLAN MANDATORY?

A.     No.

Q2.    WHERE DO I OBTAIN INFORMATION ABOUT THE VARIOUS HEALTH BENEFIT PLANS?

A.     From your Servicing Personnel Office.

Q3.    AFTER MY INITIAL OPPORTUNITY TO ENROLL, WILL I HAVE ANOTHER CHANCE
       OR A CHANCE TO CHANGE MY ENROLLMENT?

A.     Yes.  Health benefits regulations now require an open season during
       which time such new enrollments/changes are accepted.  Traditionally,
       open season begins on November 15th each year and lasts for at least
       two weeks.  Changes made during these open seasons take effect on
       the first day of the first pay period of the following calendar year.
                                   75

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                                                        Chapter IV
                                                        Subchapter 2
                                                        Section 2-2
GROUP LIFE INSURANCE

Primary Source              FPM Chapter 870



Background

Insurance is provided under the terms of a Group Insurance Policy
purchased by the U.S. Civil Service Commission in accordance with the
Federal employees' group life insurance law.

Role of the Supervisor

Awareness of program.
                                 76

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Ql.    WHO IS ELIGIBLE?

A.     Nearly all Federal employees are eligible to participate.  The
       main exclusions are temporary employees.  There are no age or health
       restrictions if you take the insurance the first time you are
       eligible.

Q2.    MUST I PARTICIPATE?

A.     No, participation in the Federal Employees' Group Life Insurance
       Program is voluntary.

Q3.    WHAT IF I WAIVE OR DECLINE THE INSURANCE?

A.     If you waive the regular insurance or decline the optional insurance,
       you cannot obtain the insurance for at least one year, and then only
       if you are under age 50 and obtain a doctor's certificate stating
       that you are in good health.

Q4.    WHAT KIND OF LIFE INSURANCE IS IT?

A.     Term Insurance.
                                  77

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                                                        Chapter IV
                                                        Subchapter 3
CIVIL SERVICE RETIREMENT PROGRAM
Primary Sources             FPM Chapter 831
                            CSC Pamplet 18, Your Retirement System
Background

The original retirement law was first approved in 1920.  While employed as
a member of the civil service retirement system, employees contribute to
the Retirement Fund at the rate of 7%, with an equal contribution made by
the Government.

Role of the Supervisor

Understand the retirement system and assist employees in planning for
retirement.

Role of the Servicing Personnel Office

Advise, assist, and counsel employees in all aspects of retirement.
                                  78

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Ql.    WHAT IS THE MINIMUM AMOUNT OF CIVILIAN SERVICE REQUIREMENT?

A.     Five years of civilian service.

Q2.    HOW IS THE AMOUNT OF ANNUITY COMPUTED?

A.     The amount depends primarily upon an employee's length of service
       and the highest level of pay received during one's Government career.
       Your Personnel office can provide you with assistance in computing
       retirement.

Q3.    IS PARTICIPATION MANDATORY FOR ALL GOVERNMENT EMPLOYEES?

A.     It is mandatory for permanent employees, such as career and career
       conditional status employees.  Temporary employees generally are
       eligible for Social Security benefits only.

Q4.    WHEN ARE FEDERAL EMPLOYEES ABLE TO RETIRE UNDER THE GOVERNMENT
       RETIREMENT PLAN?

A.     Mandatory (age) Retirement (employee must retire):

           . 70 years of age; and

           . 15 years Federal service with 5 years in civilian service.

       Optional Retirement (employees can retire if they wish):

           . 62 years of age and S years of civilian service;

           . 55 years of age and 30 years service with at least 5 years
             in civilian service.

       Deferred Retirement:

           . With 5 years civilian service, an employee can receive annuity
             at age 62 no matter when he leaves government service.

       Disability Retirement:

           . Five years service and totally disabled during employment
             for service in his or her position or in another position
             in the same grade or class;

           . Retirement for Involuntary Separation other than separation
             for cause (reduction-in-force, abolishment of position, lack
             of funds, liquidation of office or agency, etc.);
                                  79

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           . 50 years of age and 20 years of service with at least 5 years
             in civilian service; or

           . 25 years service with at least 5 years in civilian service
             regardless of age.

Q5.    WHAT OPTIONS ARE AVAILABLE TO EMPLOYEES WHO LEAVE GOVERNMENT SERVICE
       BEFORE BECOMING ELIGIBLE FOR RETIREMENT?

A.     Employees with more than 5 years' government service are eligible for
       deferred retirement and may either withdraw the money from their re-
       tirement account or leave it in the account until they become eligible
       for an annuity at age 62.

       Employees with more than one year but less than 5 years' government
       service who leave the government and who will not be employed within
       31 days from the date of separation in a position subject to the
       civil service retirement system are entitled to a refund of all monies
       _they have contributed to the retirement fund plus 3 percent interest.
       This refund voids all annuity rights unless the person is later re-
       employed in a position subject to the system.
                                  80

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 ENVIRONMENTAL  REGIONAL ADMINISTRATOR

 PROTECTION              ORDER

 AGENCY
R3160.1
                                                   April 8, 1974
                 PERSONNEL - ATTENDANCE AND LEAVE
                       FLEXIBLE WORK SCHEDULE

    1.  Purpose .   To permit Region  IX employees whose positions
    are susceptible to flexible starting hours the latitude to
    select their  work hours on a daily basis within a specified
    starting period.

    2.  Policy.  Employees  will be  permitted to request a starting
    time for their daily work schedule provided:

        a.  Their positions are so  identified and approved in the
            Flexible Work Schedule  Plan.

        b.  The employee's  immediate supervisor approves.

        c.  Each  employee continues to meet his or her job
            commitment and  performance of duties and responsibil-
            ities are satisfactory.

        d.  The operations  and functions of the work unit and the
            Region are not  impaired.

        This policy will be placed  in effect on a trial basis for
        a period  not to exceed one year from the date of this order
        and will  be evaluated quarterly to determine effectiveness
        in meeting all objectives of this program.

    3.  Responsibilities .   While this program is generally designed
    to accommodate individual employees, there must be a balance
    between this  and workload, quality of work and mission accoms-
    plishment.  Therefore,  this responsibilities of this program
    must be shared judiciously by all concerned.

        a.  Division Directors, Top Managers and Senior Supervisors.

            (1)   Approve supervisor's Flexible Work Schedule plans.

            (2)   Delegate the authority to immediate supervisors
                 to approve employee requests for Flexible Work
                 Schedules .


Jist: A                                                     Initiated by: MCMT

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                                ORD£P     R3160.1
     (3)  Establish,  or  modify as  necessary,  a work per-
         formance monitoring  and  evaluation  system to
         assure  that there  is no  decrease in the level or
         quality of  duties  and responsibilities.

     (4)  Assure  that all  subordinate supervisors and
         employees are  briefed on their responsibilities
         under the program.

     (5}  Initiate appropriate disciplinary action for
         negligence  or  abuse  of this privilege.

     (6)  Provide a periodic report to the Regional
         Administrator  on the effectiveness  of this
         program.

  .   Immediate Supervisors.

     (1)  Develop a plan for Flexible Work Schedules for
         their subordinate  employees.  Plans should be
         submitted for  review by  the next higher level
         of  supervision and approved by Division Directors.
         Plans must  contain:

          (a)  Statement of  workload.

          (b)  Statement of  priorities.

          (c)  Methods to  control  work during absence
              of supervisor.

          (d)  Positions identified as susceptible to
              flexible  schedules.

          (e)  Means  used  to solicit reaction of employees.

          (f)  Employees (in positions of (d)}  identified
              to participate  in flexible schedules.

          (g)  Plans  to  allow  for  changes in  flexible
              schedules because of unexpected workload
              or emergencies.

          (h)  Methods used  to evaluate employee performance.

          (i)  Means  used  to evaluate effectiveness of flex-
              ible schedules.

     (2)  Approve or  disapprove requests from employees to
15.128 (1-73)                                                (C«rtlni»«lan)

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                                      OKDBK    R3160.1
                use the Flexible Work Schedule based upon approved
                plans.  In the event of disapproval, supervisors
                must explain in specific terms why the request has
                been disapproved.

           (3)   Institute controls necessary to assure that work-
                load, quality of work and the eight-hour day are
                met.

           (4)   Provide necessary assignments to employees on the
                Flexible Work Schedule to assure that work is
                continuing during the supervisor's absence.

           (5)   Continually evaluate the effectiveness of employees
                participating in the Flexible Work Schedule.

           (6)   In areas where it is necessary to limit flexibility
                to choose individual schedules with complete
                freedom, supervisors should involve the employees
                concerned in working out a practical solution
                under the principles of this program.

           (7)   Withdraw Flexible Work Schedule privileges from
                employees for abuse or failure to perform
                adequately.

       c.  Employeea.

            (1)  Assure  that  a full  eight-hours  work schedule is
                performed each day.

            (2)  Develop work schedule  with  supervisor  and keep
                supervisor informed of any  changes  in  this se-
                lected  work  schedule.

            (3)  Assure  that  operational questions are  answered
                and assignments are provided  during the super-
                visor's attendance.

            (4)  Assure  that  the quality and quantity of work
                are maintained.

            (5)  Respond favorably to requests from  supervisors
                to  adjust work schedules.

            (6]  Notify  supervisors  as  appropriate when leave is
                desired.


EPA Form 1315-1 IB (1.73)                    3                             (C«mliwMlon>
 PAR 3c

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                                     ORDEH    R3160.1
  4..  General.

      a.  The only limitation is that employees must start the
          work schedule sometime during the following daily
          schedule:

                     Begin         6:30  -  9:30

                     End           3:00  -  6:00
          No employee may work before 6 AM and after 6 PM as
          part of their regular schedule.

      b.   Employees  should develop a general work schedule with
          their supervisors covering, as a minimum,  one pay
          period.  Employees can change this schedule at any time
          provided supervisors are notified and agree in advance.
      c:  The lunch  schedule will  be  one-half  (»i)  hour.   Any
          extention  will  be added  to  the ending period to
          equal  the  eight-hour  a day  requirement.

      • d\.  An eightrhour day is  expected, employees cannot work
          only six hours  one day in anticipation of working
          ten the next day.
       «
      1e.  Safety is  a consideration,  as it is  always potent-
          ially  dangerous for people  to work by themselves.
          As a precaution, then, avoid situations where em-
          ployees might work alone.

      -f.  Requests for overtime will  continue  to be initiated
          by supervisors  and approved by Division Directors.

      g"i.  It may be  necessary to ask  new employees to work a
          fixed  schedule  for a  while  until they get through
          an orientation  and training period.   If so, they
          should be  allowed to  be  placed on the flexible
          schedule if appropriate, as quickly  as possible.

      h>.  With people coming and going at different times,
          care should be  exercised not to disturb those at
          work.

   5.  Procedures.

      a.  See action in  3b (1).

EPA Pom 1J1W2B (1-73)                    4                             
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                                         ORDER
                                         R3160.1
b.  Employees whose positions are  covered  in  the  Flexible
    Work Schedule Plan will request, by  Memorandum to
    their supervisor, to be placed on  the  Flexible Work
    Schedule .

    Supervisors will retain a copy of  approved Memorandum,
    one copy will go to the Timekeeper,  and a copy will
    be sent to the Personnel Office for  the Official
    Personnel Folder.

    Employees will state in their  request  that they have
    read and understand the Regional Order on the Flex-
    ible Work Schedule.

e.  Supervisors will notify employees  as far  in advance
    as possible when a change to the work  schedule is
    required to satisfy operational priorities.

f .  The Flexible Work Schedule is  just a change in the
    daily work schedule; other personnel programs,
    requirements and regulations remain  in effect.
          c.
          d.
                                         raul De Falco,
                                         onal Administrator
PAR 5b

  EPA Form IJIWJB (1.73)
                         -5-
                                                                (Cofitlnuatlan)

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 ENVIRONMENTAL
 PROTECTION
 AGENCY
REGIONAL ADMINISTRATOR
    ORDER
R3160.1  CHG 1
 Region IX
                                               June IS, 1975
                  PERSONNEL-ATTENDANCE AND LEAVE
                  FLEXIBLE WORK SCHEDULE
      The provisions of Regional Order R3160.1 are hereby extended
      and will remain in effect until further notice.

                                 Paul De Falco, Jr.
                                 gional Administrator
Oist:
                                                    Initialed by.

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ENVIRONMENTAL
PROTECTION
AGENCY
                        REGIONAL ADMINISTRATOR
ORDER
S3160.1
 CHGE  2
HEGION IX
                      December 20, 1976
                    PERSONNEL - ATTENDANCE AND LEAVE
                        FLEXIBLE WORK SCHEDULE


   Regional Order R3160.L Is amended as follows:

   1. Add sub-paragraph (8) to paragraph 3(b);

      Supervisor Is responsible on a continuing basis for maintaining an
      up-to-date listing of flexible work schedules for his/her unit.


   2. Add sub-paragraph (g) to paragraph 5.

      Flexible work schedule plans required by this Regional Order will be
      submitted to the personnel office for review April 1 and October 1
      of each calendar year.
                                                alco,
                                          gional Administrator
Dist: B
                                Initiated by- n-1

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Chapter V - EMPLOYEE
SERVICES

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                                                        Chapter V
                                                        Subchapter 1
ALCOHOL AND DRUG ABUSE

Primary Sources             EPA Order 3120.3A
                            FPM Supplement 792-2
                            PL 91-616 and PL 92-255
Background

When the use of alcoholic beverages and/or drugs impairs an employee's
performance, attendance, conduct, or reliability, the Agency bears the
responsibility for taking remedial action in the form of rehabilitative
assistance or regular disciplinary procedures.  Employees who suspect
that they have a drug or drinking problem are encouraged to voluntarily
seek information and counseling on a confidential basis at the earliest
opportunity.  Neither job security nor promotion opportunities will be
jeopardized by this request, except, as limited by statute to sensitive
positions or where criminal conduct is/or could be harmful to others.
Since alcoholism and drug abuse are treatable illnesses, sick leave and
advanced leave will be granted, as appropriate, to employees who are
participating in treatment and rehabilitation programs.

Role of the Supervisor

When employees fail to fulfill their supervisor's expectations, super-
visors have both the right and duty to confront them with the deficiencies
in a timely manner.  They should be alert to work and behavior patterns,
document specific occasions of deteriorating or poor performance, advise
the Alcohol and Drug Abuse Program Coordinator of the problem, and conduct
a performance related interview with the employee.  Supervisors should not
discuss the possibility of a drug or alcohol problem with an employee
except under specific circumstances outlined in the FPM and the Agency order.

Role of the Servicing Personnel Office

Personnel is responsible for equipping supervisors with knowledge of the
Agency's policy and program and increasing supervisory effectiveness in
identifying deteriorating performance and in counseling employees on the
basis of job performance.  The Director, Personnel Management Division,
designated as the EPA Alcoholism and Drug Abuse Program Administrator, is
responsible for program development, implementation, review, and
maintenance.  The Director will provide guidance in establishing regional
alcoholism and drug abuse programs when requested.
                                  81

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Ql.    HOW CAN I CONTACT AN ALCOHOL AND DRUG ABUSE COORDINATOR?

A.     Each geographical location within EPA has an assigned Coordinator.
       Contact your servicing Personnel Office to obtain the name of your
       coordinator.

Q2.    WHAT IS MY ROLE AFTER I REFER AN EMPLOYEE TO THE PROGRAM COORDINATOR
       AND HE/SHE IS PARTICIPATING IN A TREATMENT AND REHABILITATION PROGRAM?

A.     Continue to note and record the employee's work performance and
       behavior, and report any changes to the Program Coordinator.

       Give the employee ample encouragement and recognition when he/she
       shows improvement.

       Consult the Program Coordinator on a continuing basis so that job-
       related problems that may cause the employee undue stress can be
       discussed and alleviated.

Q3.    WHAT ACTION DO I TAKE IF THE EMPLOYEE REFUSES OR DISCONTINUES THE
       TREATMENT PROGRAM OR HIS/HER PERFORMANCE FAILS TO IMPROVE AFTER A
       REASONABLE PERIOD OF TREATMENT?

A.     If the employee refuses to seek treatment and/or if there is no
       improvement or inadequate improvement in performance, disciplinary
       actions should be taken, as warranted, solely on the basis of
       unsatisfactory job performance.
                                 82

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                                                        Chapter V
                                                        Subchapter 2
INJURY COMPENSATION
Primary Sources             FPM Chapter 810
                            Federal Employees' Compensation Act,
                            Title 5 U.S. Code, Chapter 81
                            Federal Register, Employees' Benefits
                            dated 2-14-75
Background

The Federal Employees' Compensation Act (5 USC 8101 et seg.) is
administered by the Office of Worker's Compensation Programs (OWCP) of
the U.S. Department of Labor.  It provides compensation benefits to
civilian employees of the United States for disability due to personal
injury sustained while in the performance of duty or due to employment
related disease.  The Act also provides for the payment of benefits
to dependents if the injury or disease causes the employee's death.

Role of the Supervisor

To understand the program requirements and complete necessary forms
needed in recording and reporting injuries.

Role of Servicing Personnel Office

Administering program and submitting reports and forms to the
Department of Labor.
                                 83

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Ql.    SHOULD I REPORT AN INJURY?

A.     Yes, every Injury should be reported to your supervisor.   Necessary
       forms may be obtained from your personnel office.

Q2.    WHAT BENEFITS ARE PROVIDED FOR EMPLOYEES WHO SUSTAIN DISABLING,
       JOB-RELATED TRAUMATIC INJURIES?

A.     Employees may use sick or annual leave, or request continuation  of
       regular pay for the period of disability not to exceed 45 calendar
       days.  If disability continues beyond 45 days,  the employing agency
       terminates regular pay.  Compensation is then payable by  the OWCF.

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                                                               Chapter V
                                                            Subchapter 3
OCCUPATIONAL HEALTH AND SAFETY PROGRAM
Primary Sources              FPM Chapter 792
                             EPA Occupational Health and Safety Manual
Background

It is the policy of the Environmental Protection Agency to administer  its
programs in a manner which assures safe and healthful working conditions
for all employees.  Every employee is responsible for identifying risks,
hazards, or unhealthful and unsafe conditions and for taking appropriate
action.

Executive Order 11807, Section 2, requires the head of each Federal agency,
after consultation with representatives of the employees of the agency to
establish and maintain an occupational health and safety program meeting
the requirements of Section 19(a) of the Occupational Safety and Health Act
of 1970 and 5 USC 7902(c)(l).

Role of the Supervisor

Responsible for identifying and reporting through appropriate channels to
the Assistant Administrator, Regional Administrator, or the Executive
Officer for the Administrator, unsafe or unhealthful conditions and for
taking steps to assure an adequate level of health and safety in activities
under his or her organizational jurisdiction.

Role of the Servicing Office

The Personnel Offices are responsible for providing support for health
and safety training programs.
                                  85

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Ql.    WHO IS THE DESIGNATED SAFETY AND HEALTH OFFICIAL FOR THE DEVELOPMENT
       AND CONDUCT OF THE EPA OCCUPATIONAL HEALTH AND SAFETY PROGRAM AND
       APPROVAL OF HEALTH AND SAFETY POLICY, STANDARDS, AND REGULATIONS?

A.     The Assistant Administrator for Planning and Management.

Q2.    WHO IS THE OFFICIAL RESPONSIBLE FOR THE MANAGEMENT, DIRECTION, AND
       AUDIT OF THE PROGRAM AND THE DEVELOPMENT OF POLICY, STANDARDS, AND
       REGULATIONS?

A.     The Director, Occupational Health and Safety Office, Office of
       Planning and Management.

Q3.    WHAT HEALTH AND SAFETY TRAINING IS AVAILABLE FOR SUPERVISORS AND
       EMPLOYEES OF EPA?

A.     Health and Safety training is available for Agency personnel from
       many governmental and commercial sources.  The EPA Occupational
       Health and Safety Office coordinates training in such areas as
       laboratory safety and health, diving safety, and emergency treatment
       of injuries.   The Occupational Health and Safety Office and the EPA
       Headquarters Training Staff are coordinating the presentation of a
       nineteen lesson safety management training course for EPA supervisors,
       This course can be modularized to meet specific supervisory needs.
                                  66

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Chapter VI- EMPLOYEE DEVELOP-
MENT AND EVALUATION

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                                                        Chapter  VI
                                                        Subchapter  1
PERFORMANCE EVALUATION AND RATING

Primary Sources             FPM Chapter 430
                            EPA Order 3110.11A
Background

The performance rating plan for EPA was established pursuant to the
requirements of the Performance Rating Act of 1950 (5 USC 4301-4308).
Employee performance evaluation is a means of measuring the level and
quality of an employee's work against the performance requirements
(standards) established for the position.

The objectives of the Environmental Protection Agency performance
evaluation and rating plan are to:

       0 Assure a clear understanding by each employee of the performance
         requirements of his/her position;

       0 Assess performance in terms of results accomplished in relation
         to these performance requirements;

       0 Identify those employees whose work exceeds performance
         requirements;

       0 Identify those employees whose work does not meet the performance
         requirements of their positions;

       0 Identify training needs; and

       0 Strengthen supervisor-employee relationships through a continuing
         process of meaningful discussions of work assignments* methods,
         progress, and accomplishments.

Role of the Supervisor

Communicating Agency and office goals to employees and involving them  in
plans to meet these goals;

Working with employees to develop a mutual understanding of the performance
requirements of their positions;

Keeping employees currently advised concerning their work performance,
advising them with regard to improvement, acknowledging satisfactory work,
and rewarding superior accomplishments;

                                  87

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Helping employees achieve career objectives consistent with program goals;

Striving to eliminate obstacles to high quality performance;

Rating employee performance in an objective and timely fashion, in
accordance with the procedures stated in the Order;

Evaluating supervisors on their results in furthering equal employment
opportunity in accordance with Civil Service Commission requirements and
the Agency affirmative action plan; and

Evaluating supervisors on how well they understand and carry out health
and safety program responsibilities.

Additionally, each reviewing official (normally the next level of
supervision above the rating official) is responsible for:

       0 Reviewing recommendations for outstanding and unsatisfactory
         ratings in accordance with the criteria stated in  the EPA
         Order; and

       0 Reviewing satisfactory ratings when such ratings are appealed
         through the EPA Administrative Review process, provided the
         reviewing official did not participate in the original rating.

Role of Servicing Personnel Office

Responsible for providing supervisors with assistance and guidance.
                                 88

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Ql.    WHAT ARE THE THREE PERFORMANCE RATING LEVELS?

A.     Satjlsfia,ctpry.  The range of performance at this level is very broad
       and includes highly satisfactory work just short of outstanding,
       and work barely sufficient to warrant retention in the position.

       Outstanding.  Performance is at this level only when all aspects
       are outstanding and deserve special commendation.

       Unsatisfactory.  Performance which fails to meet minimum require-
       ments for retention in the assigned position is unsatisfactory.

Q2.    WHEN ARE PERFORMANCE RATINGS GIVEN?

A.     Each employee shall be informed of his/her performance rating
       during the month of April each year, except as provided under the
       circumstances described below:

           0 The employee has served less than three months in his/her
             current position;

           0 The supervisor has supervised the employee for less than
             three months;

           0 The employee has not completed three months of service in
             his/her current position after his/her return from at least
             three months of off-the-job training, detail, temporary
             promotion, or extended leave.

           0 A written notice of unsatisfactory performance has been
             issued and the 90-day notice period has not been completed;

           0 An adverse action because of poor performance or inefficiency
             has been proposed; or

           0 An application for disability retirement is pending.

       An employee must be told when and why his performance rating has
       been postponed, and the rating must be made when (a) the employee
       has served three months in accordance with (1) or (3) above; (b)
       the supervisor has met the three-month requirement of subparagraph
       (2) above; (c) the 90-day notice period of unsatisfactory performance
       has been completed; or (d) the decision on an adverse action has
       been made.

       An employee's performance is considered to be satisfactory when  he
       is appointed or officially moved to a new or different position  and
       such rating will remain in effect until he is rated based on actual
       performance as is required above.  However, when an employee has
       received an outstanding rating during the past 12 months the rating
       will be considered outstanding for RIF purposes only.

                                  89

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An outstanding rating may be assigned only at the annual rating
time and must be based on at least six months of performance  in
the same position, at the same grade, and in the same organization.

Unsatisfactory ratings may be assigned at any time subject  to  the
requirements of EPA Order 3110.HA.

Q3.  WHEN ARE PERFORMANCE APPRAISALS GIVEN?

A.   Performance appraisal is a continual process and from  time  to  time
     an employee's work and performance should be discussed with him/her,
     including the criteria by which performance will be assessed.  He/she
     should be requested to submit suggestions for his/her  own continuing
     development.

       0  Within 30 days after an employee enters on duty in  a new
          position, the employee and his supervisor will discuss the
          duties and responsibilities of the position and the  performance
          requirements* by which the employee will be evaluated.  The
          supervisor may have already established the performance require-
          ments for the position, or he/she may wish to develop  them in
          conjunction with his/her discussion with the employee.

          *  Please note:  Under the revised Agency Performance  Evaluation
             and Rating Plan, written performance requirements for  satis-
             factory work will be required as of October 1, 1978.   Written
             requirements are necessary now for unsatisfactory or
             outstanding ratings.

       0  During October of each year each supervisor is encouraged to
          meet individually with employees to discuss his/her  appraisal
          of their performance in relation to the performance  requirements
          previously established.  This appraisal session is  non-mandatory.

       0  The performance evaluation process will culminate during  the
          month of April with a summary adjective rating of satisfactory,
          unsatisfactory, or outstanding.

All parts of the Performance Appraisal Worksheet will be discussed  and
completed at this time, and the rating will be based upon the  employee's
performance appraisal.
                                   90

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                                                        Chapter VI
                                                        Subchapter 2
TRAINING
Primary Sources             FPM Chapter 410
                            EPA Training & Development Manual
Background

Chapter 41 of Title 5, United States Code, is the basic statute authorizing
employee training throughout most of the Government.

Role of the Supervisor

Supervisors are required to provide employees with equal opportunities
to develop, periodically determine training and development needs of their
work unit, and make arrangements to fill those needs, participate in
career planning and counseling sessions with employees, and encourage and
reward employee participation in self-development activities.

Hole. of± the Personnel^ Office

Provide technical advice and assistance to supervisor.
                                   91

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Ql.    HOW DO SUPERVISORS MAKE APPLICATION FOR EMPLOYEES TO ATTEND A
       TRAINING COURSE?

A.     A supervisor can make a request: for training on Optional Form 170
       (OF 170), Request» Authorization. Agreement and Certification of
       Training.  After completing the OF 170 and signing it as the
       initiating officer, the supervisor sends the request forward for
       necessary approvals.  When the training has been authorized by the
       Servicing Personnel Office, the supervisor and the employee should
       make the necessary course, travel, and accommodation reservations.
       A copy of the OF 170 may serve as a purchase order for any non-
       Government training which requires a fee.  Detailed instructions on
       completing the OF 170 should be obtained from the Servicing Personnel
       Officer.  Standard CSC training source definitions and purpose of
       training definitions can be found in Chapter 12 of the EPA Training
       and Development Manual.  Additional training nomination forms may be
       required for certain training facilities and are mentioned later in
       this Chapter.

       It is important for supervisors and employees to plan for training as
       far in advance as possible.  Training requests should reach the
       servicing Personnel or Training Office no later than two (2) weeks
       prior to the beginning date of the training in order to allow for
       adequate processing and authorization.

Q2.    WHAT TYPES OF TRAINING ARE REGULARLY AVAILABLE THROUGH EPA?

A.     The EPA Training Center at Waterside Mall currently sponsors training
       in three areas:  (1) supervision and management; (2) clerical and
       administrative skills; and (c) communications skills.  The super-
       vision and management courses are offered at different locations
       throughout the country and are available to all Agency managers and
       supervisors.  The clerical, administrative and communications courses
       have been developed primarily to meet the needs of Headquarters
       personnel and are only offered at Waterside Mall.  Supervisors
       should periodically consult with their servicing Personnel or Training
       Officer about local course offerings.

       The Air Pollution Training Institute (APTI) in Research Triangle Park,
       North Carolina, offers- a variety of courses on administrative and
       technical aspects of air pollution control.  Courses offered by the
       Institute are given in various locations around the country as well
       as at RTP.  Applications for courses offered by the Institute should
       include a completed copy of EPA Form 1800-2 in addition to OF-170.

       The National Training and Operational Technology Center in Cincinnati
       offers technical instruction in water pollution control, i.e., analytical
       methods, NPDES compliance monitoring, treatment technology, etc.
       Applications for training offered through the Center should include a
       completed copy of EPA Form 1800-2 in addition to OF-170.
                                 92

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       Catalogs from all three Agency training sources should be available
       through your administrative officer but can be obtained directly
       from the following addresses:

           EFA Training Center, PM-212
           Room 2821 Waterside Mall
           401 M Street, S.W.
           Washington, D.C.  20460

           Registrar
           Air Pollution Training Institute MD-17
           Environmental Research Center
           Research Triangle Park, N.C.   27711

           Registrar
           National Training and Operational
             Technology Center
           MOTD, OWHP, OWHM
           U.S. Environmental Protection Agency
           Cincinnati, Ohio  45268

Q3.    WHAT OTHER TRAINING IS AVAILABLE  THROUGH EPA?

A.     Frequently seminars, workshops and instructional meetings are
       scheduled to meet specific needs  of some group within the Agency,  e.g.,
       user's meetings for data processing personnel, seminars on EFA responsi-
       bilities under the Toxic Substances Control Act, etc.   These sessions
       are not considered as direct Agency training but may provide valuable
       information and experience to some employees.   Since these sessions  are
       not regularly scheduled, the publicity which they receive depends  upon
       the program sponsoring them.  Supervisors should try to become aware of
       seminars, workshops, and meetings that might be of some significant
       value and should check with responsible programs for establishing
       seminars in areas about which they would like  to learn.

Q4.    WHERE ELSE CAN TRAINING NEEDS BE  MET?

A.     The Civil Service Commission, other government agencies, local
       colleges and universities, secretarial schools, adult education
       programs, professional societies  and associations, and consulting
       firms are additional training sources.  Further information for using
       contract training is available from your administrative officer and
       the Agency Contracts Management Policy Manual.

Q5.    WHEN CAN NON-GOVERNMENT TRAINING  FACILITIES BE USED?

A.     When EPA does not have its own program available.

       When the desired training is not  available elsewhere in the Government.

       When it would be more expensive to use Government training facilities.


                                  93

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^b.    WHEN CAN NOB-GOVERNMENT TRAINING FACILITIES NOT BE USED?

A.     When the training is to prepare an employee for a promotion when
       other qualified employees are available.

       When training is merely to obtain academic degrees.

       When an employee has had one year of authorized training in non-
       Government facilities during the employee's current decade of
       service.

Q7.    WHO IS ELIGIBLE FOR NON-GOVERNMENT TRAINING?

A.     Only employees with more than one year of current continuous
       civilian service.

Q8.    WHAT OBLIGATION TO CONTINUE SERVING WITH THE AGENCY DOES THE
       EMPLOYEE INCUR WHEN PARTICIPATING IN AGENCY PAID NON-GOVERNMENT
      . TRAINING?

A.     When training in excess of 80 hours is received while in a pay
       status, the employee must agree to serve in the agency for 3 times
       the length of the training.

       When training in excess of 80 hours is received while in a non-pay
       status, the employee must agree to serve in the agency for a time
       equal to the length of training or one (1) month, whichever is
       greater.

Q9.    WHAT COSTS CAN BE PAID FOR APPROVED TRAINING COURSES?

A.     Regular pay and, in some rare cases, overtime pay.

       Travel costs.

       Per diem or subsistence.

       Transportation of family and household goods for some long term
       training.

       Fees directly related to the training, i.e., tuition, books, etc.

Q10.   WHAT HAPPENS WHEN AN EMPLOYEE FAILS TO ATTEND OR DOES NOT NOT
       SATISFACTORILY COMPLETE TRAINING FOR WHICH THE AGENCY HAS PAID A FEE?

A.     If this occurs because of willful neglect or other circumstances
       within their control, the employee will be required to reimburse
       the Agency for all expenses other than salary.  Proof of attendance
       and satisfactory completion in the form of a certificate or grade
       report should be submitted to the servicing personnel or training
       officer after any training course paid for by the Agency.
                                 94

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       On the other hand, If employees fall to attend or satisfactorily
       complete training due to circumstances beyond their control (such
       as illness, emergency, or decision by the supervisor),  the reim-
       bursement requirement may be waived by the servicing Personnel or
       Training Office.

Qll.   WHAT ARE EPA REQUIREMENTS FOR SUPERVISORY TRAINING?

A.     The Agency requires that all supervisors receive:

           * 40 hours of supervisory training either before or within
             6 months after becoming a supervisor; and

           0 80 hours of supervisory training either before or within 2
             years after becoming a supervisor (Including the  first  40
             hours mentioned above).

Q12.   HOW ARE SUPERVISORS'  TRAINING NEEDS IDENTIFIED AND DOCUMENTED?

A.     Operating personnel officers should assist Immediate supervisors
       in formally defining training needs of newly appointed  or acquired
       first-line supervisors.   EPA Form 3140-8 has been designed to
       document plans for meeting the 80-hour training requirement and for
       further training and development of new first-line supervisors.
                                 95

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                    UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
SUBJECT: Region IX Personnel  Bulletin  No.  410-1
        Employee Development and Training

        Personnel Officer


    TO  All  Employees

        References:   FPM 410, EPA Training and  Development Manual.


        1.   Q.  WHAT IS ERA'S TRAINING POLICY?

            A.  It Is EPA1 s  policy to provide training to enable employees  to
                efficiently  perform their job duties  and to  encourage employees
                1n their efforts for  self-improvement.

        2.   Q.  DOES TRAINING HAVE TO RELATE TO NY OFFICIAL DUTIES?

            A.  No.  Training and guidance is also provided to assist employees
                in reaching  their goals at EPA.  However, the primary training
                function 1s  to assist employees in the development of the
                skills and knowledges needed to perform In their current
                positions.

        3.   Q.  WHO IS ELIGIBLE TO TAKE TRAINING?

            A.  All  permanent EPA employees are eligible to take training courses
                in accordance with the above policy.  The following guidelines
                cover individuals, under other types of appointments:

                a.  Temporary Appointments:  In rare situations, training Is
                    approved for temporary employees when it  is determined
                    to be very closely job-related and cost-effective within
                    the appointment period.

                b.  Co-Op Students:  Training must cover EPA  programs and mission
                    or be directly job-related.  Training will not be approved  for
                    courses which can be taken  in their college curriculum or are
                    not covered in the student's training plan.

                c.  IPA:  The guidelines for temporary employees are applicable to
                    individuals who are detailed to EPA from  State or local agencies
                    unless specific provision has been made  in the IPA agreement
                    covering training.

        4.   Q.  ARE THERE ANY LIMITATIONS ON TAKING TRAINING  IN MY FIRST YEAR?

            A.  Yes.  Employees with less than one year of continued civilian service
                cannot take non-government training.  If sufficient justification
 EPA fo».. n?n«fjfr» 3 7*1

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        Is provided, this limitation can be waived by the Personnel
        Ufficer for some types of training.  You should contact the
        Training Ufficer for further information.

5.  Q.  WHAT IS NON-GOVERNMENT TRAINING?

    A.  Non-Government training is any training that is not taught by
        Federal employees.  This includes courses offered by local
        colleges* private companies, and contractors hired by EPA.

6.  Q.  ARE THERE ANY OTHER LIMITATIONS ON NON-GOVERNMENT TRAINING?

    A.  Yes.  Prior to requesting any non-Government training which
        exceeds 80 hours, you must sign and date the "Employees Agreement
        to Continue In Service", printed on the back of the OF-170 form.
        For training taken on official time, the agreement will be for
        a period of three times the length of the training.  For courses
        taken after work hours, the agreement will be for a period equal
        to the length of training.  (Minimum agreement—one month.)

7.  Q.  WHAT TYPE OF TRAINING SHOULD I TAKE?

    A.  Within the first two months of entering a new position and during
        April of each year, you and your supervisor should discuss this
        question.  At this time, both of you should jointly complete an
        Employee Training and Development Plan {EPA-IX-Form 377).  You and
        your supervisor should consider the skills you will need in order
        to improve your job performance, as well as your short and long
        range career goals.  You may wish to discuss your career objectives
        or specific training needs with the Training Officer.  Part-time
        career counselors are also available for career guidance.  The
        Employee Training and Development Plan must be submitted to the
        Personnel Office prior to your first request for training and
        during April of each year.  No training will be authorized unless
        the training plan has been received in the Personnel Office.

8.  Q.  HOW CAN I FIND OUT WHAT COURSES ARE AVAILABLE?

    A.  Memos are distributed for all courses presented by the Region.
        Many courses are also announced in the Staff Flash.  The most
        thorough guide to training is the San Francisco Regional Training
        Center's Catalog and Schedule of Classes.   Reference copies  are
        available in each Division and the Personnel Office.  Individual
        course announcements are posted in a display rack on the 6th floor
        near the vending machines and many are also circulated in the
        Divisions.  College catalogs are on display in the Personnel Office.
        EPA brochures covering courses in air pollution control and water
        quality are available from the Training Officer.

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 9.   Q.   HOW DO I  APPLY FOR A SPECIFIC COURSE?

     A.   Training  request form OF-170 must be completed  for each
         training  course you request.  The request must  be approved by
         your first and second-line supervisors,  Division Director, and
         the Training and Personnel Officer.   (Management and  Enforcement
         Divisions have delegated Division authority to  approve training
         to the Branch Chiefs.)

10.   Q.   WHAT DOES THE PERSONNEL OFFICE DO WITH MY REQUEST?

     A.   The Personnel Office reviews each training request to assure that
         the cost, time, and objectives of the  course are appropriate.
         The request must also be consistent with your Employee Training
         and Development Plan and meet all Federal regulatory  requirements.
         If all these requirements are met, the Personnel Officer will
         authorize the training.  (Note:  The Personnel  Officer and the
         Regional  Administrator are the only ones authorized to approve
         training  requests.)  Copies of the approved request will be sent
         to you, the course vendor, and our Finance Office. Ajj training
         requests  must be_ approved prior to the beginning of tR? course.

11.   Q.   WHAT MUST I DO AFTER COMPLETING A COURSE?

     A.   After completing the course you will receive an evaluation form
         and a short questionaire asking you if you completed  the course.
         Both of these should be completed promptly and  returned to the
         Personnel Office.

12.   Q.   WHAT HAPPENS IF I AM UNABLE TO ATTEND  A  COURSE  WHICH  I AM SCHEDULED
         TO TAKE?

     A.   If you are unable to attend a course,  you should notify the Training
         Officer irrmedlately.  You may be able  to reschedule the course,
         cancel it, or find a substitute to attend in your place.  If EPA
         is billed for the course, payment will be made  from the Division
         funds originally allocated for the training.

13.   Q.   WHAT HAPPENS IF I DO NOT COMPLETE A COURSE?

     A.   If you do not satisfactorily complete  a  course  due to circumstances
         within your control, or if you leave Government service before
         completion, you must reimburse EPA for training expenses other  than
         salary.  In order to satisfactorily complete a  college course,  you
         must receive a grade of "C" or better.

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 ENVIRONMENTAL     REGIONAL ADMINISTRATOR

 PROTECTION             ORDER

 AGENCY
R 3140.1
  Region  IX                                        January 24, 1974


	PERSONNELS-EMPLOYEE DEVRT/WMEHT ftffP TB&TKTIWa	

                      TRAINING ADVISORY COMMITTEE

    1.   PURPOSE.  This Order establishes a Training Advisory
    Committee for Region IX.

    2.   AUTHORITY.  The Federal Personnel Manual, Chapter 410-11,
    states that the head of each agency must take such adminis-
    trative action as is necessary to insure that programs are de-
    veloped to meet the agency short- and long-range training needs
    and  that priorities are established for the  agency's training
    programs.

    3.   OBJECTIVES AND SCOPE OF ACTIVITY.  The responsibility for
    the  training and development oc employees rests  with managers
    and  supervisors throughout the organization, with the support
    and  guidance of the Personnel Office.  In devising its training
    plans, the Region's management needs information, advice, sup-
    port, and assistance from representatives of all segments of
    the  organization.  The Training Advisory Committee will serve
    as the mechanism for bringing together different viewpoints,
    developing priorities, pooling resources to  meet common objec-
    tives, and the useful exchange of ideas. The Committee will
    help formulate training policy and plans, and it will assist
    in seeing that they are implemented throughout the organization.

    4.   FUNCTIONS.  The Committee will be an advisory one and will
    not  assume control of the training budget—the budget authority
    will remain with division directors and supervisors.  Nor will
    the  Committee review individual training requests, except those
    for  long-term training.  The Committee should be seen as an
    advisory board to the Regional Administrator.  The Training
    Advisory Committee's functions will include  the  following:

         a.  Review and recommend training policy.

         b.  Assure that an annual training needs survey is con-
         ducted in all branches and divisions, and review and
         identify the Region's major training needs.

         c.  Devise and recommend a training plan to meet perceived
         training needs.	
Jist:                                                       Initiated bv
                                                          irmiaunj "v MGMT

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                                              R 3140>1
     d.  Identify and mobilize resources for in-house training
     courses in program areas, with the concurrence of the ap-
     propriate Division Director or Staff Office Chief.

     e.  Assist in planning and coordinating courses of special
     interest to Region IX employees.

     f.  Periodically evaluate the training described in d and
     e_ above.                                            ~

     g.  Review long-term (120 days or more) training requests,
     and make recommendations concerning approval and priorities.

     h.  Recommend actions as a result of reviewing employee •
     complaints and grievances regarding training.

5.   COMPOSITION.  The Training Advisory Committee will be com-
posted of nine members, four designated and five elected.  The
Regional Administrator will designate the Deputy Regional
Administrator to chair the committee, and will designate one
division director, the Regional EEO Officer, and one repre-
sentative from the Federal Women's Committee to sit on the com-
mittee.  The five elected members will serve on the committee
for a term of one year and will be elected pursuant to procedures
outlined in paragraph 6.  The Training Officer and the Chief of
Manpower Development Branch will serve as non-voting advisors to
the Committee.

6.   ELECTION.  The Personnel Office will solicit nominations
for the five elective positions on the Committee, to be appor-
tioned as follows:  two representatives from the mid-level
professional staff, one representative from the junior profes-
sional staff, and two representatives from the clerical/admin-
istrative support staff.  The Personnel Office will open nomi-
nations for at least five working days; it will then prepare
a list of nominees in the above-named categories, and an election
will be held no later than two weeks after the close of nomi-
nations.  If more than five employees from any one category
are nominated, the Personnel Office will select the five
employees from that category with the highest number of nomi-
nations, to be submitted for the general election.
                        ml De Falco, Jr.
                      fgional Administrator
                              -2-
PAR 4d

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ENVIRONMENTAL REGIONAL ADMINISTRATOR
M                           r-\ r> r> *-r-fc          R 3140.1
OROTECTION              ORDER
                                                   Change 1
AGENCY
 Region IX                                         September 2, 1975
              PERSONNEL — EMPLOYEE DEVELOPMENT AND TRAINING
                   TRAINING ADVISORY COMMITTEE

     Paragraphs 5 and 6 of Regional Order R 3140.1,  published  on
     January 24, 1974, are hereby revised to read as follows:

     5.  COMPOSITION.  The Training Advisory Committee will be
     composed of eight members, four designated and  four
     elected.  The Regional Administrator will designate a
     senior staff member  (at the Division Director level or
     above) to chair the committee, and will designate the
     Regional EEO Officer, one representative from the
     Federal Women's Committee, and one other member to sit
     on  the committee.  The four elected members will serve
     on  the committee for a term of one year and will be
     elected pursuant to procedures outlined in paragraph 6.
     The Training Officer and the Chief of Manpower Development
     Branch will serve as non-voting advisors to the Committee.

     6.  ELECTION.  The Personnel Office will solicit nominations
     for the four elective positions on the Committee, to be appor-
     tioned as follows:  one representative from the mid-level
     professional staff, one representative from the junior profes-
     sional staff, and two representatives from the clerical/admin-
     istrative support staff.  The Personnel Office will open nomi-
     nations for at least five working days; it will then prepare
     a list of nominees in the above-named categories, and an
     election will be held no later than two weeks after the close
     of nominations.  If more than five employees from any one
     category are nominated, the Personnel Office will select
     the five employees from that category with the highest number
     of nominations, to be submitted for the general election.
                                          Paul De Falco, Jr.
                                          Re9ional Administrator
Dist.                                                        Initiated by:  MGT

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                      REGIONAL ADMINISTRATOR
ENVIRONMENTAL

PROTECTION            ORDER

AGENCY
R 3140.1

Change 2
 Region IX                                      December 15, 1975


	PERSONNEL -- EMPLOYEE DEVELOPMENT AMD TRAINING
                TRAINING ADVISORY COMMITTEE
      Regional Order R 3140.1, published on January 24,  1974,
      is changed as follows:  delete paragraph 4,
      sub-paragraph g (Committee review of long-term
      training requests).
                                   Paul De Falco, Jr.
                                   Regional Administrator
Dist: B                                                  Initiated by:M-l

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                                                        Chapter VI
                                                        Subchapter 3
 EXECUTIVE DEVELOPMENT

 Primary  Sources              FPM Letter No. 412-2
                             EPA Order 3140.1
Background

Basically this  program, mandated by the Civil Service Commission and the
Office of Management and Budget, requires  the identification of all
managerial  positions; the specification of the knowledge and abilities
required in each managerial position; identification of newly selected
managers and current managers selected for other managerial positions;
the assessment  of the degree to which Individuals possess the knowledge
and ability requirements identified for a particular position; implemen-
tation of an operational "high potential" program; preparation of an
Individual  Development Plan (IDP) for managers and high potentials.  The
objective of this program then is to assure the Agency's immediate and
long range  executive/managerial manpower requirements are anticipated,
planned for, and met.

The program works toward its objectives by:

    0 Exposing  participants to a variety of managerial philosophies and
      thereby Improving their ability to make managerial decisions;

    0 Letting participants examine and question EPA policy and point of
      view;

    0 Helping participants Increase their human relations skills and their
      ability to apply them;

    0 Improving participants' understanding of the basic problems of EPA
      and other government agencies and the current challenges to govern-
      ment  through contacts with key officials in EPA and other government
      agencies; and

      Encouraging participants' continuing involvement in self-developmental
      activities.

Role of the Supervisor

The supervisor has a pivotal role in the implementation of the Executive
Development Program.  This role Includes:
                                 96

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0
0
      Selection Phase:  All supervisors participate in the selection process,
      either through their comments to the rating panels on those employees
      under their supervision who self-nominate, or by being a member of
       the  rating panel  reviewing  the applications and providing  the basis  for
      final decision concerning those who will participate in the Program;  and

      Preparation of Individual Development Plans:   Individual Development
      Plans (IDP's) will be developed by the employee and the employee's
      supervisor with advice and guidance from the Personnel Office.

Role of the Servicing Personnel Office

The Servicing Personnel Office is responsible for the timely implementation
and coordination of Executive Development Program activities.  Working with
the Headquarters Executive Development Staff, they:

    0 Participate in the identification of individuals with high managerial
      potential;

    0 Participate in the preparation of IDP's;

    0 Counsel those individuals selected;

    0 Take necessary actions to implement IDP's;

    0 Refine IDP's; and

    0 Assure that managerial skills, knowledges, and abilities are identified
      and developmental plans are prepared for other incumbent managers.
                             97

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Ql.    WHO IS ELIGIBLE FOR THE PROGRAM?

A.     To be eligible for the program an employee must:

           0 Be a full-time, permanent employee;

           0 Be GS-12 and above, or U.S. Public Health Service
             Commissioned Corps Officer, CO-4 and above;

           0 Possess high potential for future managerial jobs and/or
             potential for movement into more responsible managerial jobs;

           0 Submit a self-nomination form during their program's
             designated time period;

           0 Be evaluated and endorsed by key managers in their work unit
             in accordance with established criteria which indicate
             managerial skill and/or potential; and

           0 Be among the top 15% who meet the above criteria.

Q2.    IS MOBILITY REQUIRED OF ELIGIBLES?

A.     While geographic mobility is not mandatory at this time, it is
       considered a key element of the total program.  Those individuals
       who have had only Headquarters or field experience should fully
       realize that career progression can be dependent upon geographic
       mobility.

Q3.    HOW MANY PEOPLE ARE IN THE PROGRAM?

A.     The number of candidates selected for participation in the program
       is keyed to EPA's actual and projected executive and managerial
       manpower needs.  Accordingly, the size of the Executive Development
       Program varies from year to year according to such factors as actual
       and projected executive and managerial attrition, manpower staffing
       guidance issued by the Office of Management and Budget and antici-
       pated fluctuations in Agency size, programs, or mission.

Q4.    WHEN WILL ELIGIBLES IN MY ORGANIZATION HAVE A CHANCE TO ENTER THE
       PROGRAM?

A.     The identification and selection of high potentials for the Executive
       Development Program is a continuing process.  On a scheduled
       program-by-program, office-by-office basis, briefings are held for
       all organizational employees meeting the basic eligibility require-
       ments; self-nomination forms are solicited at this time.  These are
       screened at the various supervisory levels, with final selection
       authority resting with Assistant Administrators, Regional Adminis-
       trators, and the Deputy Administrator (for Headquarters Staff Offices).
       Criteria for consideration are past performance, achievements, awards,
       education and training, experience and career progression, and other
       evaluative factors suggested by the CSC.
                                   98

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Q5.    WHAT ARE THE BENEFITS FOR INDIVIDUAL PROGRAM PARTICIPANTS?

A.     Each participant's Individual Development Plan (IDP) includes
       experiences intended to enrich their managerial/supervisory
       capabilities and may include:

           0 Mobility assignments; long/short term training; rotation
             assignments; special projects; task force assignments; etc.;
             and other developmental assignments.

           0 Each participant is counseled on the best method for
             Implementing his/her IDP;

           0 Each participant receives vacancy announcements for positions
             for which they qualify and in which they have expressed an
             interest;

           0 Each participant is alerted to specific training courses
             designed for EPA's managerial core; and

             In certain cases, participants may request the use of Executive
             Development funds to pay for travel/per diem expenses related
             to rotational assignments that are part of his/her IDP.

Q6.    WHAT ABOUT INDIVIDUALS NOT SELECTED FOR THE PROGRAM?

A.     Individuals not selected for participation in the Executive Develop-
       ment Program will not be precluded from normal career progression.
       All employees will be eligible for training activities and pro-
       motional opportunities to higher levels of responsibility.  Further,
       through counseling, performance appraisal, and an assessment of
       training needs, all individuals will be assisted in reaching their
       full potential.
                                99

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 ENVIRONMENTAL   REGIONAL ADMINISTRATOR

 PROTECTION              ORDER
 AGENCY
R3140.3
 REGION IX                                           ,rt»2S W6

	PERSONNEL-EMPLOYEE DEVELOPMENT AND TRAINING	

                    EXECUTIVE DEVELOPMENT PROGRAM
    1.    Purpose.  This Order establishes EPA,  Region  IX Executive
    Development Program and prescribes procedures and  guidelines
    for program implementation.

    2.    Coverage.  This program applies to all EPA personnel  at
    grades GS-12 and above, including PHS commissioned corps
    equivalent  (CO-4 and above).

    3.    Goals and Objectives.

         The objective of the Executive Development Program is to
    assure that there are a sufficient number of fully trained,
    well-qualified people to'meet both current and future executive
    manpower needs of the Agency.  The Program is concerned with
    providing developmental and/or renewal experiences for incum-
    bent executives and identifying and developing those in the
    mid-management rank with high potential for leadership and
    achievement.  The program works towards this objective by:
               •
         a.   Exposing participants to a variety of managerial
             philosophies and thereby improving the ability to
             make managerial decisions;

         b.   Exposing participants to a variety of policy areas.

         c.   Helping participants to increase the human relations
             skills and their ability to apply them;

         d.   Improving participants' understanding of the basic
             problems of EPA and other government agencies and
             the current challenges to government through contacts
             with key officials in EPA and other government
             agencies;
Oisi:                                            •          ' initiated by

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                                     ORDER         R3140.3
     e.   Encouraging participants' continuing involvement in
          self-developmental activities.

4.   Procedures,  a. 'Publicity will be given on the Executive
Development Program to all eligible employees (GS-12 and CO-4
and above) by the Region prior to the recertification and
selection process.  Publicity will be in the form of written
announcements.  It will cover the goals and objectives of EDP
and criteria for participation.  Interested and eligible
employees may apply by submitting Attachment 1 with a SF-171
(Personal Qualifications Statement) and "Executive Development
Appraisal Form" (EPA-IX-386).  Current participants will be
considered automatically for continuation in the program,
but they may also be requested to sign Attachment I again,
in order to reaffirm their commitment to the program.
Applicants will be solicited during the month of April.

     b.   The immediate supervisor of each applicant will
          complete the "Executive Development Appraisal
          Form" (Attachment II EPA-IX-386).  This Appraisal
          will be utilized in the evaluation process described
          in c and d below.

     c.   Each Division Director and Staff Office Chief will
          meet with his or her Branch Chiefs and evaluate all
          applicants.  Division Directors will evaluate Branch
          Chiefs and Regional Administrator or Deputy Regional
          Administrator will evaluate Division Directors. " At
          this meeting, the Division Director/Office Chief,
          utilizing the established criteria, will identify the
          top 10% and top 2o% of. those eligible (including
          current participants).

     d.   An ad hoc committee, chaired by the Regional
          Administrator and/or .Deputy Regional Administrator,
          and consisting of all Division Directors, the
          Personnel Officer, and the EEO Officer,  will meet
          as a group.  The, committee will discuss  all applic-
          ants & current participants and will use the
          Executive Development Appraisal Form (Attachment
          II) to rate candidates.   Through the discussion
          and^review process the Regional Administrator or
          his'designee will determine the final nominations
          (top 15% or fewer) to participate in the program.
          Those not selected must be given meaningful career
          counseling by their supervisor and Division Directors/
          Staff Office Chief within 30 days of the decision.


                            -2-

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                                     ORDER          R3140.3
     e.    The Regional nominees'  names will be forwarded to
          the Executive Development Staff at EPA Headquarters
          for final approval.   EDS will notify the Region of
          approved candidates  and request that individual
          development plans (IDP, Attachment III)  be completed
          for each participant.   iDP's will be prepared
          locally with assistance from the Executive Development
          Staff.

     f.    Any self-nominated employee who was not selected
          for the EDP may investigate the reasons for non-
          selection.   If any employee feels that his application
          was not given fair or proper consideration, he has
          the right to appeal  this decision under the normal
          EPA grievance procedures.

     h.    Any program participant who ceases to meet the
          criteria for continued participation may be removed
          from the EDP during  the annual re-certificatior.
          process.  A participant may voluntarily withdraw
          from the program at  any time witn a written request
          to the Personnel Office.  If the employee is in the
          midst of training or a developmental assignment,
          participation will be terminated as soon as practical
          and in accordance with established policies.

     i.    Tire ad hoc committee (composition designated in d,
          aboveT wiTl also meet annually during the month of
          September to review  operation of the program.  At
          this time,  the committee will discuss the continued
          participation of those in the program and the
          possible inclusion of those who have become eligible
          since the previous selection in March.

5.   Criteria.  The following  criteria will be considered in
identifying participants:

     a.    Ability to plan and  organize own activities effec-
          tively, establishes  well-defined work objectives and
          priorities  for accomplishing them.

     b.    Effective in seeking pertinent data and in determining
          the source of a problem.

     c.    Stays with a problem until the problem is settled.

     d.    Is constructive rather than negative in approaching
          problems.

                            -3-

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                                     ORDER         R3140.3
     e.   Perceives and reacts sensitively to needs of others.

     f.   Adaptability - modifies behavioral style and approach
          to reach a goal.  Adjusts quickly to changes and meets
          varying workload demands.

     g.   Performs well under unusual stress and pressure.

     h.   Is highly productive.

     i.   Cooperative in situations when a decision has been
          reached in which there may have been personal
          disagreement.

     j.   Presents and defends a position in a forceful and
          dynamic manner.

     k.   Accepts responsibility readily.

     1.   Self-starter 
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                           ORDER         R3140.3
(2)  Designate the Deputy Regional Administrator
     as the key representative in the organization
     to serve as a contact point for executive
     development activities in Region IX;

(3)  Assure that adequate funding and manpower re-
     sources are provided within his areas of
     responsibility;

(4)  Hake final recommendations to the Executive
     Development Staff in EPA Headquarters on Region IX
     participants in the Executive Development
     Program.

The Personnel Office is responsible for the timely
implementation and coordination of Executive
Development Program activities.  Working with
Executive Development's staff, it will:

(1)  Participate in the identification of individuals
     with high potentials;

(2)  Counsel supervisors and employees in the prep-
     aration of IDP's;

(3)  Counsel employees regarding the Executive
     Development Program;

(4)  Take necessary actions to implement IDP's;

(5)  Assure that managerial skills, knowledges and
     abilities are identified and developmental
     plans are prepared for non-selected managers.

Supervisors will:

(1)  Evaluate eligible employees who apply for the
     program.

(2)  Counsel individuals not selected.

(3)  Participate in the preparation of IDP's.

(4)  Take or recommend necessary actions to implement
     IDP's.

(5)  Identify managerial skills, knowledges,  and
     abilities and prepare developmental plans for
     non-selected managers.

                  -5-

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                               ORDER
  R3140.3
d.   The full objectives of the EPA Equal Employment
     Opportunity Program shall be applied in administering
     this program.  Discrimination because of race,
     religion, color, national origin, sex, physical
     handicap, marital status, political affiliation
     age or any other irrelevant factor will not be con-
     doned.  Affirmative actions will be used to promote
     the full realization of equal employment opportunity,
     in accordance with the EPA Region IX Affirmative
     Action Plan.
                         Paul t>e Falcb, Jr.
                         Regional Administrator
	, / ^*^
                      -6-

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                                              Attachment I
SUBJECT:  Self-Nomination for Executive and Management
          Development Program
FROM:
          Employee's Name

TO:
          Division Director
     I request that I be considered for the EPA Executive
and Management Development Program.

     I understand that my selection for the program entails
a commitment on my part which may involve'mobility or
rotational assignments, training (long and short term}, task
force* committee, and understudy assignments, and interchange
programs.
                  (Employee's Signature)     (Grade)   (Date)

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                                                                                Attachment II

                                                                                Name
                                     EXECUTIVE DEVELOPMENT APPRAISAL FORM
Evaluative Factors
 Below
Average
Adequate
 Above
Average
Outstanding
'ibility to plan and. organize own activities
effectively, establishes well defined work objectives
and priorities for accomplishing them.
trfective in seeking pertinent data and
in determining the source of a problem.
stays with a problem until the matter is settled.
•s constructive rather than negative in approaching
>roblems.
•erceives and reacts sensitively to needs of
others.
^daptabTlity - modifies behavioral style and
'.pproach to reach a goa^. Adjusts quickly to
' hanges and meets varying workload demands.
i erforms well under unusual stress and
pressure.
; highly productive.
-.•operative in situations when a decision has
sen reached in which there may have been personal
Isagreement.




































  PA-IX-386

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                                                                           Attachment II  (Cont'd)

                                                                           Name
                                  EXECUTIVE DEVELOPMENT APPRAISAL FORM
Evaluative Factors
 Below
Averaqe
Adequate
 Above
Averaqe
Outstanding
Presents and defends a position in a forceful
and dynamic manner.
Accepts responsibility readily.
S°lf-starter Uakes Initiative to start useful new
projects).
Produces imaginative and practical solutions
to ccnplex problems.
Sensitivity to policy issues.
ity to articulate clearly and concisely
orally and in writing.
Makes an excellent first impression in terms
of bearing and personal manner.
Overall leadership capacity.
Overall rating of employee's potential For
future managerial positions.




































                                                               Appraising Official
                                                                Reviewing Official
                                                                                         (signature)
                                                                                         (signature)

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                                                                                                          Attachment  III
EXECUTIVE AND MANAGEMENT
DEVELOPMENT WORKSHEET
PART 1 - QUALIFICATIONS EVALUATION


3 YEARS OF SERVICE
• • FEDERAL |b. EPA
«. EDUCATION ~ 	 ' 	 • 	 	 	






RFSEAHCH
TECHNIC *u
HEADQUARTERS EPA
•j PREVIOUS EMPLOYMENT HISTORY ANliATl°''
	 — - -



-

01 SUPERVISOR " ' ~ 	
•51 SERIES (6I CRADE



31 SUPERVISOR
'.".T . .. . I""1"""

  HIGHLIGHT Of DUTIES
                                                                              • i> SlT^ERVISOR ~"
                                                                                                                               GKftDE
Fo.m3liO.lOf7.7dJ
                                                                                                                            uMmiu tl ort ri vc-r^c

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PART II • INDIVIDUAL DEVELOPMENT PLAN
». CAREER GOALS (Include utigat position title, »rJ». 0**

2 MAJOR STRENGTHS FOR FUTURE MANAGERIAL POSITIONS
1 MAJOR WEAKNESSES FOR FUTURE MANAGERIAL POSITIONS
.1
ft. DEVELOPMENT PLAN
DEVELOPMENTAL ACTIVITIES (Be tpacttlc-wha. urlwf, wfien. vhrre and wjir;
a.
Ill TRAININS (Loaf- *n special. AJWSNMENTS (Tntk lafff frouf*, eamrutfee*, underitvdr)
•til OTHER frnrcrcAiifilic prajrnaiJf »rlf-inill«rctl development /iclintiri,)

PRIORITY
ORDER
b.





TARGET ACCOMPLISHMENT
c.





E PA Faim JUQ-10 (7-74) (Reverie)

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                                                        Chapter VI
                                                        Subchapter 4
AWARDS
Primary Sources             FPM Chapter 451
                            Title 5, Chapter 45, U.S. Code
                            Title 5, Chapter 53, Section 5336,
                              U.S. Code
                            EPA Awards Manual
Background

It is the EPA policy to encourage employees to make their best efforts in
their daily work, to urge them to bring forward their ideas to improve the
efficiency and economy of Agency operations, and to give appropriate recog-
nition to them for these contributions or for special acts or services in
the public interest and related to their official employment.

Role of the Supervisor

Support the Awards Program by appropriately using the various types of
awards authorized for recognizing deserving employees and groups of employees,

Identify through the management review process specific program and opera-
tions areas and the employees involved where superior work results warrant
award consideration.

Consider all employees under their supervision who may be eligible for
nomination for awards sponsored by other Federal agencies and non-
Governmental organizations.

Participate actively in the suggestion system by encouraging employees to
submit their ideas and by evaluating suggestions promptly and objectively.

Role of the Servicing Personnel Office

Develop and implement local procedures to carry out the Awards Program and
consult and negotiate as appropriate with exclusive labor organization
representatives.

Coordinate local awards.

Assure that recommendations for honor and cash awards are clearly consistent
with the criteria established for the particular award.
                                  100

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Provide advice, assistance, and training concerning the program to managers
and supervisors.

Assure that employee suggestions are promptly forwarded for evaluation and
consideration to those management individuals who have authority to adopt
them.

Maintain records and statistical information concerning program activity,
and submit reports as required.
                                 101

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Ql.    WHAT ARE SOME OF THE HIGH LEVEL GOVERNMENT AND NON-GOVERNMENTAL
       AWARDS AND WHEN SHOULD I NOMINATE EMPLOYEES FOR THESE NON-EFA AWARDS?

A.     See attached chart.

Q2.    WHAT AWARDS ARE AVAILABLE FOR EPA EMPLOYEES?

A.     The Special Achievement Awards which are granted to recognize
       employees for Individual performance exceeding job requirements and
       for special acts or services in the public interest in connection
       with or related to their employment both individually and in groups.
       The award consists of a certificate and may carry with it a lump
       sum cash award.

       Quality Increases are additional within grade increases awarded for
       continuing high quality performance above that ordinarily found in
       the position.  They may be granted only to General Schedule employees
       who occupy permanent positions.  In addition to the pay increase, a
       certificate of award is authorized for presentation to the employee.

       Career Service Recognition includes EPA Length of Service Awards and
       the Retirement Certificates.

       EmployeeSurgestions system is an organized method for soliciting
       constructive ideas that will benefit the Agency and reward the
       originator.  Awards are based on the degree of benefit derived
       from adopted suggestions.

       Honor Awards are designed to recognize exceptional, distinguished,
       or heroic individual or group achievements.  These honors include:

           . Gold Medal for exceptional service;

           . Silver Medal for superior service;

           . Bronze Medal for commendable service;

           . PHS Medals; and

           . Distinguished Career Award which recognizes the cumulative
             achievements of employees who have truly distinguished service
             throughout their employment in EPA and Federal Service.

Q3.    WHEN ARE THE TOP HONOR AWARDS PRESENTED?

A.     The Gold and Silver Awards and PHS, Distinguished and Meritorious
       Service Medals are traditionally presented in December of each year
       in Washington, D.C.

Q4.    WHERE CAN ADDITIONAL INFORMATION ON AWARDS BE OBTAINED?

A.     The EPA Awards Manual.
                                  102

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HIGH LEVEL GOVERNMENT AMD RON-GOVERNMENT AWARDS
DATE DUE
AT
SPONSOR
February
April
April
May
July
Mid-August
Mid-August
December
NAME OF AWARD
William A. Jump
Memorial Award
Rockefeller Public
Service Awards
Ton Clark Award
Federal Woman's Award
Presidential Management
Improvement Award
Federal Environmental
Engineer Award
National Civil Service
League, (1) Career
Service awards and
(2) Special Achievement
Awards
Arthur S. Fleming
Award
PURPOSE
For outstanding service in the
field of Public Adminstration.
Cash award of $10,000 in rec-
ognition of outstanding persons
In Public Service,
To give public recognition to
car«er Federal lawyers who have
performed work in che U.S. Cov't-
To provide special recognition
to women for outstanding con-
tributions to the efficiency
and quality of die career
9ervJ.ce of the Federal govern-
ment.
Presidential recognition for
contributions to Management
Improvement Programs in
Government.
To recognize exemplary work
or accomplishments of engineer. >
in the Federal Service.
(I) To strengthen Public Servi :e
by bringing National recognition
to significant careers in the
Federal Service, and (2) sig-
nificant contributions to
National well being.
To honor outstanding young men
and women in the Federal goveri-
nent In scientific or technical
and administrative or executive
fields.
GENERAL
REQUIREMENTS
Any employee in Federal Govern-
ment under 37 years of age ac
end of year of nomination.
Any civilan male or female
whose careers have been marked
by long term excellence.
Civilian or Military career
attorneys of the Federal
Government.
Komen employees with not less
than three years continuous
full-time service, GS-S and
above.
Any individual Federal employee
or group.
Any professional Federal
environmental engineer.
(I) 10 years in Government; ex-
ceptional efficiency; superior
performance. (2) Special
accomplishment.
Kale or female employees of
the Executive Branch, Under
40 years of age.
CRITERIA
Notable contributions to effi-
ciency and quality of public
service. Sustained interest,
growth and development in field
of public administration.
Intellectual maturity. Leader-
ship, character and competence.
Notable contributions to Public
Service.
Outstanding specific acconpliGtnent
or outstanding legal ability.
scholarship, and performance.
Outstanding ability and achieve-
ment in an executive, professional
scientific, or technical position.
e*i
o
Superior achievement in managemciT *
effectiveness and/or significant
cost reduction In Government.
Outstanding accomplishment a ar.d
leadership in Improving the
environment.
CD Exceptional competence.
Sustained superior performance.
Devotion to public service. (2)
Single, one-time achievement;
or one project over a period or
a. scries of sucessful protects.
Outstanding and meritorious
service during pervious fiscal
year, judged on specific or
general accomplishments.

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                       ASSISTANT REGIONAL ADMINISTRATOR
mm                             FOR MANAGEMENT
ENVIRONMENTAL

PROTECTION              ORDER
AGENCY
   REGION I
                                               R3130.1
IX
                                         June 3, 1974


  	PERSONNEL - INCENTIVE AWARDS	


                   EMPLOYEE AWARDS - EPA
                    BRONZE MEDAL FOR
                   COMMENDABLE SERVICE
   1.  Purpose.  The purpose of this order is  to  establish
      procedures for awarding Regional employees the EPA
      Bronze Medal for Commendable Service, the  third highest
      honor award given by the Agency.

   2.  Background.  EPA Order 3130.2, dated October  1, 1971,
      establishes the Honor Awards Program for the  Environ-
      mental Protection Agency and describes  procedures for
      administration of the program.  In that Order, authority
      is delegated to the Regional Administrator to grant a
      Regional Honor Award, the Bronze Medal  for Commendable
      Service.

   3.  Coverage.  This Order applies to all civilian employees
      of the Region.  It does not apply to officers of the
      Commissioned Corps of the Public Health Service who are
      covered by provisions in the Commissioned  Corps Personnel
      Manual.  However, Commissioned Officers may be included
      in EPA group awards if the group is comprised of both
      Commissioned Officers and Civil Service personnel.

   4.  Description.  The award consists of a bronze  medal and a
      certificate, and when granted to a group,  a unit citation.

   5.  Criteria.  The award is granted for highly competent
      performance of duties in the Agency over a long period
      of time.  Examples of such services include:

      a.  Performance of assigned tasks in a  superior manner,
          setting a record of achievement and inspiring other
          employees to improve the quality or quantity of
          their work.
•>'" B                                                      Initiated byMGMT

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                                      OBOCR         R3130.1
    b.   Demonstration of unusual initiative or creative
        ability in the development and improvement of
        methods,  procedures/  or devices.

    c.   A heroic act.

6.   Nominating Procedures.  Supervisors may, at any time,
    nominate subordinates for this award.  A narrative
    nomination in memorandum format should be addressed to
    the Regional Administrator, through the Personnel Officer,
    with concurrence of the appropriate Division Director.
    The narrative statement should include sufficient infor-
    mation and justification to enable the awards board to
    make a proper and fair determination.  For obvious
    reasons, supervisors should not discuss nominations with
    the subordinate involved.

7.   Approval.   An ad hoc awards board will review nominations
    and recommend to the Regional Administrator who has
    final approving authority.  The ad hoc board will consist
    of the Deputy Regional Administrator, the Personnel
    Officer, and a Division Director other than the one
    concurring in the nomination.

8.   Presentation.  The Regional Administrator will present
    the Commendation Medal at an appropriate ceremony.

9.   Supersession.  Regional Office Order PER-03-16-73 is
    superseded.
                                    Sheila H. Prindiville
                               Assistant Regional Administrator
                                      for Management

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ENVIRONMENTAL    Raglonal Adffllnlstracor
PROTECTION                ORDER
AGENCY
R3130.3
REGION IX                                                     February 5,  1975


                        PERSONNEL - INCENTIVE AWARDS
                          INCENTIVE AWARDS PROGRAM
    1.   PURPOSE.   This order establishes an interim Region IX Incentive
         Awards (Suggestion) Program.   EPA Headquarters is establishing a
         Suggestion Program—it will supersede this one.

    2.   BACKGROUND.   In the past, EPA employees have regularly been recognized
         for superior  or meritorious performance within their job responsibility
         by performance and honor awards.  There has been no formal procedure
         for rewarding employees for suggestions that are not part of their
         regularly  assigned duties.  Toward this end, an Incentive Awards
         Program is being instituted in Region IX.

    3.   PJ3LICTL Any  employee or group of employees who believe they may
         have a constructive idea (or invention) to improve methods, equip-
         ment, or procedures may submit their suggestion to the Regional
         Personnel  Officer for consideration.  The Personnel Officer will
         acknowledge receipt of the suggestion and refer It to those manage-
         ment individuals who have authority to adopt It.  If the scope of
         the suggestion is beyond Regional authority to adopt It, It will be
         referred to the appropriate authority for adoption.  If the sugges-
         tion Is adopted in whole or In part, the employee may receive a
         cash award prorated on the estimated tangible and/or Intangible
         savings to be expected in the first year of use.  Awards will
         generally  be  under $500.00 but In special instances may amount up
         to $25,000.00.  Employee suggestions should be submitted on the
         proper EPA Form 3130-2 developed for this purpose.  Special recep-
         tacles have been installed in all regional facilities to make these
         forms readily available.  More comprehensive instructions on the
         functioning of the new suggestion procedure and the proratlon of
         awards may be obtained from the Incentive Awards Manual when
         distributed to all supervisors.
                                     De Falco, Jr.
                                  sgional Administrator
    B                                                              Initiated by.MGT

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ENVIRONMENTAL    REGIONAL ADMINISTRATOR

PROTECTION             ORDER              R3i3o.4

AGENCY
Region  IX                                           October  29,  1976

	PERSONNEL—AWARDS	


                      AWARDS ADVISORY COMMITTEE
     1.   PURPOSE.  This Order establishes an Awards Advisory
     Committee for Region IX.

     2.   AUTHORITY.  EPA Order 3130.2.

     3.   RESPONSIBILITIES. -  The Awards Advisory Committee  will
     review nominations of Region IX employees for awards  and
     will recommend appropriate action on such nominations to the
     Regional Administrator.  Awards within the scope of the
     Committee's jurisdiction will include the following honorary
     and  monetary awards:  EPA Bronze Medal for Commendable
     Service, PHS Commendation Medal, Region IX EEO awards,
     Quality Step Increases, Continued Superior Performance
     awards, and Special Act or Service awards.  The Committee
     will utilize the EPA Awards Manual as its guideline in
     reviewing proposed awards.

     4.   COMPOSITION.  The Regional Administrator will designate
     three employees to serve as members of the Awards Advisory
     Committee and three employees to serve as alternate members.
     The  members and alternates will serve for a period of one
     year.  A representative of the Personnel Office will  serve
     as a non-voting advisor to the Committee.

     5.   PROCEDURES.  Upon receipt of a nomination for an  award,
     the  Personnel Office will call a meeting of the Awards
     Advisory Committee within two weeks of receipt of the nomina-
     tion.  If a member of the Committee is unable to attend, his
     designated alternate will attend in his place.  The Committee
     will review the award nomination and, by majority vote, will
     forward a recommendation.

         a.  Awards for which a Division Director/Staff Office
     Chief is the approving official.  If the Director/Chief


Dist. B                                                     Initiated by: M-1

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                                    ORDER
R3130.4
approves and the Committee recommends to approve the nomina-
tion, it will be sent to the Personnel Office for processing.
If the Committee recommends to disapprove, the nomination
will be forwarded to the Regional Administrator for final
determination.

    b.  Awards for which Regional Administrator is the
approving official.The Committee will review tfie nomination
and make a recommendation to the Regional Administrator.
                                    Paul De Falco, Jr.
                                  Regional Administrator

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Chapter VII - LABOR
MANAGEMENT RELATIONS

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                                                        Chapter VII
                                                        Subchapter 1
LABOR MANAGEMENT RELATIONS
Primary Sources             FPM Chapter 711
                            EO 11491, as amended
                            EPA Labor Management Relations Manual
Background

The Government-wide plan for Labor-Management Relations was established by
Executive Order 11491, effective January 1, 1970, which has been amended
by Executive Orders 11616, 11636 and 11838.  The program places primary
responsibility for developing and maintaining effective labor-management
relationships on the Agency.  There is a mutual obligation shared by both
agency and employee representatives to deal with each other constructively,
to uphold the integrity and efficiency of the public service, and to honor
the rights of individual employees.

Role of the Supervisor

You are the "key person" in your activity for labor relations with the union
or unions which have been chosen by employees as their exclusive represent-
ative and with which collective bargaining agreements are negotiated.  It
is imperative that supervisors:

    . Maintain neutrality to assure that employee and labor organization
rights granted by Executive Order 11491 are not violated;

    . Consult and negotiate with recognized labor organizations as required
under Executive Order 11491 and negotiated labor-management agreements;

    . Represent management in the administration of Agency policy and labor-
management agreements;

    . Adhere to the requirements of Section 19 of Executive Order 11491
governing unfair labor practices; and

    . Inform the servicing personnel office of significant problems in
labor-management relations.

Role ol the Servicing Personnel Office

Responsible for:

    . Providing appropriate advice, assistance and guidance to employees,
management officials, and supervisors on labor relations matters, such as
                                  105

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labor organization petitions for recognition, appropriate units for recognition,
matters appropriate for negotiation, and dues withholding;

    . Assuring that all pertinent labor-management relations information is
promptly brought to the attention of the Agency's Labor Relations Officer;
and

    . Preparing counterproposals for and participating in the negotiation of
agreements as appropriate.
                                  106

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Ql.    HOW ARE EPA EMPLOYEES RESTRICTED IN LABOR ORGANIZATION PARTICIPATION?

A.     Employees of the Security and Inspection Division and the Office of
       Audit are excluded from union membership and participation.

       Certain professional employees in personnel management or other
       positions where there could be a conflict of interest are excluded
       from union membership and participation.

       Managers and supervisors are allowed to belong to labor organizations,
       but may not be included in a bargaining unit for purposes of exclusive
       recognition.  In addition, managers and supervisors are not permitted
       to participate in the management of a labor organization or serve as
       a labor organization representative.

Q2.    ARE SUPERVISORS RESPONSIBLE FOR COMPLIANCE WITH NEGOTIATED AGREEMENTS
       EXISTING WITHIN THEIR ORGANIZATIONS?

A.     Yes, and it is therefore the responsibility of each supervisor to be
       fully cognizant of the provisions of any such valid agreement and to
       assure that the provisions are adhered to.

Q3.    CAN FEDERAL EMPLOYEES STRIKE?

A.     No, Federal employees are specifically prohibited by law from striking
       against a Government agency.  Executive Order 11491 specifically pro-
       hibits unions from calling or engaging in a work stoppage, slowdown,
       or strike.  In addition, the Order prohibits unions from picketing
       an agency in a labor dispute or condoning such action by failing to
       take action to stop it.
                                  107

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Chapter VIII- EQUAL EMPLOY-
MENT OPPORTUNITY

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                                                        Chapter VIII
                                                        Subchapter 1
EQUAL EMPLOYMENT OPPORTUNITY

Primary Sources             FPM Chapter 713
                            EPA Equal Opportunity Manual
                            Executive Order 11375
                            Executive Order 11478
Background

It is the policy of EPA to comply with the provisions of the Equal Employment
Act of 1972 and Executive Orders 11428, 11375 and 11478, to:

    . Provide equal employment opportunity for all persons;

    . Prohibit discrimination in employment because of race, religion, color,
national origin, sex, age, marital status, political affiliation, physical
handicap, or any other irrelevant factor; and

    . Promote, through affirmative action, the full realization of equal
employment opportunity.

This policy applies to and is an integral part of every aspect of personnel
policy and practice in the employment, development, advancement, and treat-
ment of EPA employees.

Role of the Supervisor

Have working knowledge of Agency/local affirmative action program.

Assure implementation of supervisory responsibilities under the plan.

Abide by the provisions of the Merit Promotion Program.

Take supervisory training courses in EEO and career counseling.

Actively participate in the Upward Mobility Program.

Counsel employees to reach their maximum potential.

Encourage qualified employees to achieve maximum advancement potential.

Encourage minorities and women to get training and earmark some training funds
for Upward Mobility.
                                  109

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Role of the Servicing Personnel Office

Provides assistance and advice to managers and supervisors in the activities
required of them by EPA's affirmative action program.  Also responsible for
assuring that EPA's internal personnel program complies with the Agency's
equal opportunity policies and regulations.
                                 110

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Ql.    IF AN EMPLOYEE FEELS THAT HE OR SHE HAS BEEN DISCRIMINATED AGAINST,
       SHOULD THE EMPLOYEE DISCUSS THE COMPLAINT WITH AN EQUAL EMPLOYMENT
       OPPORTUNITY COUNSELOR (EEOC)?

A.     Yes, the complaint must first be discussed with the EEOC before
       making a formal complaint.

Q2.    WHERE IS THE SPANISH-SPEAKING COORDINATOR LOCATED IN EPA?

A.     In the Office of Civil Rights.

Q3.    WHAT IS THE ROLE OF THE SPANISH-SPEAKING COORDINATOR?

A.     Assists supervisors with the formulation of the Agency's Spanish-
       Speaking Program particularly in the areas of recruitment and training.

Q4.    WHERE IS THE NATIONAL FEDERAL WOMEN'S PROGRAM COORDINATOR LOCATED?

A.     In the Office of Civil Rights.

Q5.    WHAT IS THE ROLE OF THE NATIONAL FEDERAL WOMEN'S PROGRAM COORDINATOR?

A.     Assures that equal opportunity for women is an integral part of the
       Agency's Equal Employment Opportunity Program.  Serves as a resource
       person and principal staff advisor to the Director of Civil Rights
       on matters affecting the employment and advancement of women, on the
       existence of poor supervisory and management practices policy* in-
       cluding requirements for elimination of discrimination based on sex.

Q6.    WHAT ARE THE FUNCTIONS OF THE FEDERAL WOMEN'S PROGRAM COORDINATORS
       WHO ARE APPOINTED IN MAJOR EPA INSTALLATIONS AND REPORT TO THE
       NATIONAL COORDINATOR IN THE OFFICE OF CIVIL RIGHTS?

A.     Assist in the formulation of the Agency's Annual Affirmative Action
       Plan for EEO to assure the inclusion of items which will enhance the
       status and employment opportunities for women.

       Develop policies, programs and activities designed to provide equal
       employment opportunity for women.

       Serve as a resource person in providing direction, assistance and
       advice to regions and labs in all areas of personnel management as
       they relate to the FWP.

       Evaluate the Agency's administrative activities and procedures to
       insure that the goals of the Federal Women's Program are incorporated
       into the overall personnel management programs.

       Maintain awareness of discrimination complaints filed alleging sex
       discrimination.
                                 Ill

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Assist in analyzing the workforce statistics in order to help identify
employment and promotion patterns and develop program objectives to resolve
problem areas.

Maintain contact and consult with community and women's groups and other
agency FWP officials to obtain advice on the concerns of women.  Also
participate in meetings, conferences and other activities concerned with
issues involving the employemnt of women.
                                  112

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                                                        Chapter VIII
                                                        Subchapter 2
UPWARD MOBILITY
Primary Sources             FPM Ltr. No. 713-27
                            EEO Act of 1972 (P.L. 92-261)
                            Executive Order 11478
                            Chapter 41, Title 5, U.5.C.
Background

Upward mobility is a Federal management effort to focus personnel policy
and practice on the development and implementation of specific career
opportunities for lower level employees.  Founded on the principles of
effective position management, it is a program which develops in a selected
portion of a workforce the skills, knowledges, and abilities to qualify
for target positions which manifest increased career potential.  Within
EPA the basic upward mobility program was expanded in 1975 and an increased
commitment was made on the part of the Agency to encourage participation
in the program on a level directly proportional to the full-time personnel
strength of EPA.

Role of the Supervisor

To reinforce top management support of this program in your organizational
implementation.

To work with personnel to determine extent of upward mobility opportunities
by:

    . Identifying situations in which upward mobility has been inhibited;

    . Identifying and analyzing job patterns which prevent qualified lower
grade level employees from advancing; and

    . Assessing the skills utilization of your staff.

To assure adequate program planning to meet the program requirements as assigned.
To participate in merit review panels as required.
Role of the Servicing Personnel Office

To provide technical assistance to program officials in developing effective
plans to meet assigned upward mobility program objectives and  in developing
appropriate trainee/bridge position descriptions and job element examining
plans for these positions.
                                  113

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To announce these positions via the Merit Promotion Flan.

To assist the review panel in screening, evaluating, and rating potential
trainees and to provide panelists where appropriate.

To handle all appropriate personnel actions.

To assist program officials and selected trainees in developing and
implementing training plans and to evaluate and approve them.

To approve and schedule appropriate training.

To provide career counselling to trainees and to meet and consult with
supervisors of trainees on a regular basis.

To help supervisors effect necessary placement actions for trainees who do
not successfully complete program.
                                  114

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Ql.    WHAT IS A BRIDGE POSITION?

A.     A "bridge" position is a trainee position established in accord with
       our Agency training agreement and designed to provide the incumbent
       with a developmental work experience, the successful completion of
       which should ready that individual for advancement into a target
       position with increased career potential.

Q2.    WHAT IS A TARGET POSITION?

A.     A target position is a pre-established position, offering increased
       career growth, for which the Upward Mobility program participant has
       been trained and into which that individual is initially placed
       following completion of the bridge assignment.

Q3.    WHO IS ELIBIBLE FOR THE PROGRAM?

A.     Applicants must be EPA employees serving under career or career-
       conditional appointment and employed by the Agency for at least one
       year.

Q4.    HOW LONG DOES THE TRAINING PERIOD LAST?

A.     The length of the training period varies according to the grade differ-
       ential between the trainee position and the target position; upon
       satisfactory completion of the training program and upon recommendation
       of the supervisor, the trainee is promoted to the target position.
       Persons selected for Upward Mobility may not be promoted into the
       target job until they have met both the specialized and general expe-
       rience requirements for the target grade and series.

Q5.    WHAT ABOUT TRAINEES WHO DO NOT COMPLETE THE PROGRAM?

A.     Trainees who don't wish to complete the program or who fail to meet
       program requirements may return to their previous job or its equivalent.
                                   115

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                       REGIONAL ADMINISTRATOR
ENVIRONMENTAL
PROTECTION             ORDER
AGENCY
                                                       R3140.2
 Region IX                                         June 12, 1975

	PERSONNEL-UPWARD MOBILITY	



                             UPWARD MOBILITY


      1.  PURPOSE.  This Order defines the philosophy, policy, and
      responsibilities of the Region  IX Upward Mobility Program.

      2. PHILOSOPHY.   EPA's philosophy of "Upward Mobility" is founded
      on the principles of effective  position management and the need
      for special developmental and training programs directed toward
      all levels of the Agency's work force.  The programs will provide
      maximum feasible opportunities  to enhance the identification,
      selection and development of  employees.  Development is geared
      toward the highest level of the employee's potential within and
      across occupational series, and it assures that the Agency
      always maintains a cadre of competent employees.

      3. POLICY.
         A. Region IX policy is to  support the philosophy of "Upward
         Mobility" expressed above.

         B. The main thrust of the  Region IX effort will be directed
         toward the development of  employees below the GS-9 level, who
         have at least one year of  service with the Agency and who
         occupy "dead-end" positions.

         C. Per EPA Headquarters memorandum of February 3, 1975,  signed
         by the Assistant Administrator for Planning and Management,
         approximately 1% of the Agency's personnel ceiling will  be
         devoted to upward mobility positions during FY76,  Region IX
         has established a higher goal, that each Division bs respon-
         sible for establishing at  least one Upward Mobility position.
         Permanent ceiling spaces will be used for all Upward Mobility
         positions.

         D. Upward Mobility positions will be filled under Merit  Pro-
         motion Plan procedures  in  accordance with the EPA Upward
         Mobility Training Agreement, contained in Operations Memorandum
         65 of July 29, 1974 (copies  of this Agreement are available in
         the Personnel Office and from the EEO Officer).


Dlst- B                                                     Initiated by.  RA

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                                  ORDER
R3U0.2
   E. The appropriate Division Director and the Regional Admi-
   nistrator must concur in all selections made for Upward
   Mobility positions.

4. RESPONSIBILITIES.
   A. Compliance with Agency and Region IX policy will be re-
   viewed periodically by the EEO Officer and reported to the
   Regional Administrator.  Any modifications in Upward Mobility
   training plans or target positions must be approved by the
   EEO Officer.

   B. Division Directors and supervisors will review position
   structures for possibilities of restructuring jobs and es-
   tablishing career ladders under the Upward Mobility Program.

   C. The Personnel Office will review the organization peri-
   odically and recommend, where appropriate, the establishment
   of bridge and target positions.  The Personnel Office will
   provide guidance to supervisors and managers in the develop-
   ment of position descriptions and training plans.
                             Paul DeFalco, Jr,
                             gional Administrator
   PARA 3e

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