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
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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;
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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.
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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.
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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.
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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.
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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:
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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.
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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;
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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
-------
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
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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
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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.
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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.
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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.
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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
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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
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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.
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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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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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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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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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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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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
-------
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.
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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;
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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:
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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.
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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
-------
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-
-------
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
-------
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-
-------
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-
-------
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)
-------
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
-------
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)
-------
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
-------
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.
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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
-------
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.
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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.
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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.
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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.
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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.
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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.
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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.
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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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