v>EPA United States Environmental Protection Agency Office of Administration and Resources Management (3612) October 2000 EPA PERFORMS Supervisor/Team Leader Meeting Workbook Planning Performance Writing Performance Plans Constructive Feedback Developing an IDP ------- Table of Contents Introduction Planning Performance [[[ 1 > EPA's Organizational Goals [[[ 2 * Linking Organizational Goals to Individual Goals, [[[ 3 »• Developing Performance Elements. [[[ 5 »• Planning Performance Handouts and Worksheets [[[ 6 Writing Performance Plans. [[[ 11 * What is a Performance Plan? [[[ 12 * What Goes Into a Performance Plan?. [[[ 13 *• Writing Your Performance Plan [[[ 15 * Writing Performance Plans Handouts and Worksheets [[[ 16 ------- Introduction Background On June 1,1998, the Environmental Protection Agency (EPA) implemented a new performance management system— PERFORMS (Performance Planning, Employee Rating, Feedback, Opportunity, and Recognition Management System). The goal of this program is to streamline and simplify the performance management process. About this Guide One aspect of PERFORMS is that EPA supervisors and team leaders periodically conduct •workgroup meetings with their employees to discuss performance issues. The EPA PERFORMS Supervisor/Team Leader Meeting Workbook will assist you, as a supervisor or team leader, when you conduct such a meeting. Use it as a guide for your meeting as you set performance expectations with your workgroup members. The Workbook materials are modular in format so you can use part or all of the materials with the group. You will find useful information about PERFORMS in the Workbook that you can convey to your workgroup during the meeting. You will lead your workgroup as they see the link between organizational goals and their workgroup's goals, write their Performance Plan, discuss examples of constructive feedback, and develop their own Individual Performance Plans (EDP). The Workbook also offers a number of questions you can ask participants during the discussion. You'll find handouts at the end of each section, including worksheets, samples of performance plans, a sample of an IDP, and blank forms. You may want to select a few of these handouts and make overheads for the meeting. The Workbook is organized into four sections, including: *• Planning Performance — this module will help your workgroup describe the performance that is required of them and how their goals are linked to the goals of the organization. *• Writing Performance Plans — this module will help your workgroup complete their individual Performance Plans. *• Constructive Feedback — this module will help your workgroup describe constructive feedback * Developing an Individual Development Plan (IDP) — this module will help your workgroup to complete their Individual Development Plan. ------- Planning Performance The purpose of this module is for a supervisor or team leader to convey his/her performance expectations to workgroup participants. Objectives Ac the end of the meeting, your workgroup should be able to describe the performance that is required of each of them and how their workgroup goals are linked to the goals of the organization. Materials Needed You will need: *• EPA's ten strategic goals (handout) * The Performance Planning Process (handout) » Example of a Roles & Results Matrix: Public Relations Department (handout) » Roles & Results Matrix Worksheet (handout) Suggested Time Topics EPA's Organizational Goals Linking Organisational Goals to Individual Goals Developing Performance Elements Time 10 minutes 10 minutes 40 minutes 1 hour (total time) Planning Performance-1 ------- EPA's Organizational Goals Time 10 minutes Purpose The purpose of this section is to briefly review with your team how the PERFORMS process links to EPA's organizational goals as outlined in the EPA strategic plan. Detailed Plan Items Actions Discussion 1. EPA's ten strategic Hand out the copy of Which goals do you long-term goals EPA's Ten Strategic think our Goals located at the end workgroup is most of this section. closely aligned with? 2. Organizational goals keep EPA aligned with its strategic direction 3. Organizational goals ate the compass by which EPA measures its direction. Make a list of the workgroup's current projects on a flip chart or whiteboard. Think about the project(s) we are currently working on...do they support these goals? Do you feel that your efforts are reflected in EPA's strategic plan? Planning Performance-2 ------- Linking Organizational Goals to Individual Goals Time 10 minutes Purpose The purpose of this section is to briefly review -with your workgroup how EPA's organizational goals are linked to the performance goals of the workgroup and to individual goals. Detailed Plan Items Actions Discussion 1. Organizational goals are systematically linked to individual goals Write the following on a Why is it important flip chart: that your goals be linked to the EPA Goals workgroup goals and EPA goals? Workgroup Objectives Individual Responsibilities 2. Focus on priorities Write an example of a to begin linking mission statement or workgroup goals to functional statement on those of the the overhead or flip organization chart. In what way does this mission statement help us begin focusing our priorities? What other documents or info gathering activities could help us? Planning Performance-3 ------- Items Actions Discussion 3. Individual goals Hand out the visual that How will this are linked to illustrates the process ultimately organizational goals Performance Planning benefit you? The by a process Process. workgroup? EPA5 Planning Performance-4 ------- Developing Performance Elements J Time 40 minutes Purpose The purpose of this section is to present workgroup members -with a Roles & Results Matrix and further discuss the third step in the planning process, developing performance elements. Items Actions Discussion 1. Developing Performance Elements Hand out the Example of a Roles & Results Matrix:. Public Relations Department located at the end of this section. Hand out the Roles & Results Matrix Worksheet located at the end of this section. Fill in matrix with input from participants using a generic example applicable to each person in the workgroup. How does Cathy support the development of the brochures? How does the process of defining workgroup goals in a Roles & Results Matrix help us define the roles for individual members of the group? How can the information in the Roles & Results Matrix help you when completing your individual performance plans? Planning Performance-5 ------- Performance Planning Handouts and Worksheets Planning Performance-6 ------- EPA's Ten Strategic Goals EPA's organizational goals are the compass by which the organization measures its direction. They appear below as outlined in the September 1997 EPA Strategic Plan and can also be found on the Internet at: http://www.epa.gov/octopage/plantoc.htm. EPA's organizational goals are: 1. Clean air 2. Clean and safe water 3. Safe food 4. Prevent pollution and reducing risk in communities, homes, workplaces and ecosystems 5. Better waste management, restoration of contaminated waste sites, and emergency response 6. Reduce global and cross-border environmental risks 7. Expand Americans' right to know about their environment 8. Provide sound science, improved understanding of environmental risk, and greater innovation to address environmental problems 9. Provide a credible deterrent to pollution and greater compliance with the law 10. Provide effective management ------- The Performance Planning Process Step 1. Review EPA Goals, Mission, & Strategic Plan Step 2. Determine Measures at Work Unit Level Step 3. Develop Performance Elements Step 4. Communicate Workgroup's Relationship to The Strategic Plan ------- Example of a Role-Results Matrix: Public Relations Department Workgroup Members Workgroup Results Develop Brochures Respond to Requests for Additional Information Annie Develop brochure samples Write text for brochures Respond to phone calls that request additional information Complete phone log for additional information requests Mail out standard packages that corresponds to the request Bob Develop new materials in response to requests Conduct follow-up research needed to complete requests for additional information Cathy Develop brochure graphics Develop graphics for new informational materials Dave Design brochure layout Review brochures Send to printer Approve requests for new material development ------- Roles & Results Matrix Worksheet EPA Goal: Workgroup: Workgroup Members Workgroup Results ------- Writing Performance Plans The purpose of this module is for workgroup participants to begin developing their performance plans. Objectives At the end of the meeting, your workgroup should be able to complete their individual performance plans. Materials Needed You •will need: » Blank performance plan (handout) *• Samples of performance plans (handouts) > Performance Plan forms (handout) » Standards Checklist (handout) > PERFORMS Self-Study Guide Suggested Time Topics What is a Performance Plan? What Goes Into a Performance Plan? Writing Your Performance Plan Time 10 minutes 15 minutes 35 minutes 1 hour (total time) Writing Performance Plans-11 ------- What is a Performance Plan? Time 10 minutes Purpose The purpose of this section is to briefly review with your team that a performance plan is a collaborative effort between supervisors and employees that plans the level of performance expected in the upcoming performance period. Detailed Plan Items Actions Discussion 1. What is a performance plan? 2. When are performance plans due? 3. Performance Plans as "living documents" 4. Additional uses of performance plans Hand out blank copies of a performance plan. Write Begrmmg cfthe performance period on the flip chart. Write Monitoring, Development, and Appraisal on the flip chart. How many of you completed a performance plan this past January? Why would you need to change or update your performance plan? What other ways can performance plans be used -within the PERFORMS process? Writing Performance Plans-12 ------- What Goes Into a Performance Plan? I Time 15 minutes Purpose The purpose of this section is to look at samples of performance plans "with your •workgroup and briefly review the fundamentals of a performance plan, which are the elements, standards, assumptions, and sources of appraisal input. Detailed Plan Items Actions Discussion 1. Sample Performance Plans 2. Review of Performance Elements 3. Review of retention standards Hand out samples of performance plans to each workgroup participant. Briefly review the definition of performance element. Discuss one of the performance plans. Briefly review the definition of retention standards. Pose the following question to participants. Take a minute and read through the information contained 'in these performance plans. Is the following element an accorrplishrnent, activity, or behavor? What distinguishes one from the other? Why is it important to include a retention standard for each element? Writing Performance Plans-13 ------- Items Actions Discussion 4. Review of assumptions 5. Review sources of appraisal input Pass out a Standards Checklist to each participant. Briefly review what is meant by assumptions. Discuss a sample performance plan and point to the assumptions listed Briefly review what is meant by sources of appraisal input. Pose the following question to participants. Write their answers on the flip chart. How many of you currently use the Standards Checklist when creating your own standards? How would the assumption listed positively or negatively affect the outcome of the performance element listed? What are some examples of appraisal input? Writing Performance Plans-14 ------- Writing Your Performance Plan J Time 35 minutes Purpose Hie purpose of this section is for workgroup participants to begin developing their own performance plans. Items Actions Discussion 1. Getting started 2. Filling out die performance plan Using your Standards Checklist, begin filling in the performance plan worksheet for your specific position. Using the performance plan worksheet, begin filling out your performance plan. Writing Performance Plans-15 ------- Writing Performance Plans Handouts and Worksheets Writing Performance Plans-16 ------- Blank Performance Plan HQ EPA Performance Plan Name: Office: Year: Element: Type of Element: Critical Q Additional Q Standards and Measurement Sources: Assumption (if applicable): Element Rating: Successful Q Unacceptable Q Element: Type of Element: Critical Q Additional Q Standards and Measurement Sources: Assumption (if applicable): Element Rating: Successful Q Unacceptable Q Employee's Signature/Date (Discussion and/or approval of the performance agreement) Supervisor(s)'s Signature/Date ------- Sample Performance Plan #1 HQ EPA Performance Plan Name: Jeff Greenfield Office: Administration & Resources Mgt. Yean January 1 - December 31,2000 Llement: Provide functional computer systems to employees in the office Type of Element Critical X Additional Q Standards and Measurement Sources: Usually •within two weeks of receiving the request as shown in the request log As verified by the supervisor Assumption (if applicable): The equipment is in inventory and is not on backorder with the computer company. Element Rating: Successful Q Unacceptable Q Element: Maintain computer systems Type of Element Critical X Additional Q Standards and Measurement Sources: Conduct computer maintenance checks on a monthly basis as outlined in the Maintenance SOPs •Prioritize requests by order of importance as outlined in the Maintenance SOPs Process routine requests for computer maintenance to completion, including conducting the maintenance; within two working days as shown in the request log and Maintenance SOPs Process high-priority requests for computer maintenance to completion, including conducting the maintenance, usually within one working day as shown in the request log and Maintenance SOPs Supervisor spat (kecks mrintenance lag and leg afaetarrer complaints. Assumption (if applicable): All replacement parts are in inventory and adequate human resources are available to handle the number of requests received. Element Rating: Successful Q Unacceptable Q Employee's Signature/Date (Discussion and/or approval of the performance agreement) Supervisor's Signature/Date ------- Sample Performance Plan #2 HQ EPA Performance Plan Mame: Maria Hernandez Office: Radiation and Indoor Air Yean January 1 - December 31,2000 Science & Risk Assessment Center Element: Direct team activities for the Northeastern Indoor Air Project, including conducting laboratory and field tests to monitor indoor air quality, identifying air quality risk factors, and determining sources of Indoor contaminants to the public. Type of Element: Critical X Additional Q Standards and Measurement Sources: Determine project deadlines and required resources Meet with team to conduct planning meetings at the beginning of each phase to determine the methodology to be followed for the phase, including determining the sample, data collection and recording methods, and the project reporting system •Meet with team leader each week to obtain status of the project and to resolve any pending issues 'Monitor the data and methods used to derive the data on a daily basis to identify preliminary trends in the findings by printing a report of the data entered into the database •Monitor the Project resources on a weekly basis to ensure that the team has the resources required to perform their tasks Assumption (if applicable): Five team members must be devoted 100% to the Project Element Rating: Successful Q Unacceptable Q Element: Propose recommended remediation treatment to resolve indoor Air Quality problems based on the results of die Northeastern Indoor Air Project. Type of Element Critical X Additional Q Standards and Measurement Sources: Provide briefing to selected members of management concerning recommendations for remediation treatment that would effectively resolve the most important air quality problems identified from the results of the Northeastern Indoor Air Project Submit final report for the Northeastern Indoor Air Project in plain language format within 20 days of the end of the Project. It should include the following sections: Executive Summary, Findings, and Recommendations for Remediation Treatment Assumption (if applicable): Element Rating: Successful Q Unacceptable Q Employee's Signature/Date (Discussion and/or approval of the performance agreement) Supervisor's Signature/Date ------- Sample Performance Plan #3 HQ EPA Performance Plan Name: Marshall Walker Office: Solid Waste & Yean January 1 - December 31,2000 Emergency Response Element Lead team based on guidance from supervisor on the Informing Yourself About Recycling Project, intended to educate the public about recycling basks. Type of Element: Critical X Additional Q Standards and Measurement Sources: Lead a team meeting to identify the most appropriate media to inform the public about recycling basics [e.g., print, posters, TV, radio, or -website) Assign tasks to team members throughout the project, including researching, writing, editing, and publishing the message. Assumption (if applicable): Element Rating: Successful Q Unacceptable Q Element Provide weekly status to supervisor about the Informing Yourself About Recycling Project. Type of Element Critical X Additional Q Standards and Measurement Sources: 'Meet with supervisor on a weekly basis to discuss the status of the projects, including percentage of project completed, work completed/issues resolved during the week, and remaining issues. Assumption (if applicable): Supervisor is available for the meeting. Supervisor will make alternate arrangements to discuss the status in the event she is unavailable. Element Rating: Successful Q Unacceptable Q Employee's Signature/Date (Discussion and/or approval of the performance agreement) Supervisor(s)'s Signature/Date ------- Standards Checklist Avoid Absolute Standards An 'absolute' standard, one that allows for no errors, is acceptable only in certain circumstances. Where a single failure to meet the retention standard would result in loss of life, injury, breach of national security or great monetary loss, an agency can legitimately defend its decision to require perfection from its employees. In other circumstances, the courts will usually find that the agency abused its discretion by establishing retention standards that allow for no margin of error. When Writing Standards Ask yourself the following questions when writing standards. This can help you avoid writing absolute standards. Q How many times may the employee fail this requirement and still be acceptable? Q Does the standard use words such as 'all,9 'never,' and 'each'? These words do not automatically create an absolute standard, but they often alert you to problems. CD If the standard allows for no errors, would it be valid according to the criteria listed above (risk of death, etc.)? Qieck Your Standards Ask yourself the following questions to make sure your standards are effective and meet regulatory requirements. It can help you clarify your standards. G Are the standards attainable? Are expectations reasonable? Q Are the standards challenging? Does the employee need to exert a reasonable amount of effort to reach a fully successful performance level3 Q Are the standards fair? Are they comparable to what is expected of employees in similar positions? Do they allow for some margin of error? Q Are the standards applicable? Can the appraisers) use the standards to appraise performance? Can the appraisers) collect measurement data efficiently? Q Can the elements and standards be communicated and understood? Can employees be expected to understand what is required? Q Are the standards flexible? Can they be readily adapted to changes in resources or objectives? ------- Constructive Feedback The purpose of this module is for supervisors and team leaders to review with workgroup participants the basic concepts of constructive feedback and how it fits into PERFORMS. Objectives At the end of the meeting, your •workgroup should be able to describe how constructive feedback fits into PERFORMS. Materials Needed You will need: *• Videotape vignettes > Flip chart or overhead that lists the important elements of constructive feedback • Presenting observations in a noncritical manner • Reinforcing positive behaviors and correcting unsatisfactory behaviors • Reinforcing positive behaviors in order to recognize outstanding performance - PERFORMS Self-Study Guide Suggested Time Topics What is Constructive Feedback3 Giving and Receiving Constructive Feedback Time 10 minutes 50 minutes 1 hour (total time) Constructive Feedback-23 ------- What is Constructive Feedback? J Time 10 minutes Purpose The purpose of this section is to briefly review with your team the definition of constructive feedback, which is providing positive and negative information to another in order to improve performance and recognize desired behavior. Detailed Plan Items 1. Feedback is the backbone of PERFORMS 2. Constructive Feedback Actions Pose the following question to participants. Write their answers on a flip chart. Briefly review the definition of constructive feedback including the important elements of constructive feedback (refer participants to the overhead or flip chart where you've listed the elements) Discussion Why is feedback so essential to the PERFORMS process? Why is it essential to our workgroup's progress? Within your workgroup, how often do you give and/or receive constructive feedback? What is the situation in which you give or receive feedback? Formal/ informal, etc.? Constructive Feedback-24 ------- Giving and Receiving Constructive Feedback J Time 50 minutes Purpose The purpose of this section is to focus on creating a team where all employees, including the supervisor and/or team leader, both give and receive constructive feedback on a regular basis. This will be presented to participants in video vignettes that the workgroup can discuss together. Detailed Plan Items Actions Discussion L Tips for providing Play the first video clip positive and negative of Part One. constructive feedback At the end of the clip, ask the following questions. Play the second video clip of Part One. Does it matter vho delivers the feedback as long as the message is the same? How often do you give feedback to one of your colleagues? How do you feel when a colleague gives you feedback? What difference would it have made if the subordinate delivered the feedback a week later instead of right away? Do you feel you can give a supervisor or team leader feedback? Constructive Feedback-25 ------- Items Actions Discussion 2. Receiving constructive feedback Play the third video clip of Part One. At the end, ask the following question. Play the fourth video clip of Part One. Play the fifth video clip of Part One. Pose the following question to participants. Describe to participants that receiving feedback is also a critical aspect of PERFORMS. In your description, illustrate that feedback is GIVE AND TAKE and conversations are TWO WAY. Write these out on the overhead or flip chart. Why is it important to get specific? Doesn't an employee just need to know whether they're doing a good job or not? What could this employee have done to make sure the report was in on time? What if the situation is not one that the employee can control? Why is it important for an employee to elicit feedback from his/her supervisor? Isn't it the supervisor's job to provide feedback? The supervisor had some suggestions for improvement. How well were they phrased? Is it easier to receive positive or negative feedback? Constructive Feedback-26 ------- Items Actions Discussion 3. Active Listening 4. Video vignettes of active listening tips Ask participants to take out a piece of paper. Call on volunteers to share their list. Make note of the dps he/she listed on the overhead or flip chart. Discuss that active listening is vital to understanding performance feedback and that active listening is comprised of a number of key behaviors. Return to the flip chart or overhead list of participant responses. Circle those responses that match the active listening techniques outlined in the Self- Study Guide. Add them if they ate not already listed. Show the last video vignette that illustrates each of the active listening techniques. At the end of the clip, ask the following question. Take one minute and write down as many things you can think of that make a person an acme listener. Although all of your responses ate good active listening tips, there are a few active listening techniques that can help focus your behavior when you are being given performance feedback. What other cues can you give someone who is giving you feedback that you've heard and understood them? Constructive Feedback-27 ------- Developing an Individual Development Plan (IDP) The purpose of this module is to reinforce the importance and value of completing an IDP. Objectives At the end of the meeting, workgroup participants should be able to discuss the relationship between PERFORMS and IDPs and why it is important for individuals to complete them. Materials Needed You wfll need: »• DevdopingYaurStrenghs > Sample IDP (handout) » IDP forms (handout) Suggested Time Topics Relationship Between PERFORMS and IDPs Why Develop Your Strengths? Completing Your IDP Form Time 10 minutes 5 minutes 5 minutes 20 minutes (total time) Individual Development Plans-29 ------- Relationship Between PERFORMS and IDPs Time 10 minutes Purpose The purpose of this section is to review with workgroup participants the relationship between PERFORMS and IDPs. Detailed Plan J Items Actions Discussion 1. Relationship between PERFORMS and IDPs. Review how PERFORMS represents EPA's emphasis on professional development and management coaching as keys to organizational success. Review how IDPs identify developmental needs and career objectives. Mention that IDPs are a useful tool for career development and benefit both the employee and organization. Pose the following question to participants. Why is it important to further develop your strengths as an EPA employee? Individual Development Plans-30 ------- Why Develop Your Strengths? Time 5 minutes Purpose The purpose of this section is to focus the workgroup's attention on developing their strengths as EPA employees and to the fact that developing a plan increases an employee's value to the organization. Detailed Plan Items Actions Discussion 1. Why develop your strengths? Using participant responses from the previous question, "Why develop your strengths," highlight the three reasons for developing strengths that are outlined in Deidcping Your Strengths. Individual Development Plans-31 ------- Completing Your IDP Form J Time 5 minutes Purpose The purpose of this section is for workgroup participants to review some dps for completing IDPs using a sample IDP form. Detailed Plan Items Actions Discussion 1. Completing an IDP. Hand out sample IDPs to workgroup participants. Pose the following As you review this questions to sample, what areas participants. do you find Note their responses on difficult/easy to the flip chart or complete? Why? overhead. Discuss responses with participants. Individual Development Plans-32 ------- Writing Your IDP Handouts and Worksheets Individual Development Plans-33 ------- SAMPLE IDP ENVIRONMENTAL PROTECTION AGENCY INDIVIDUAL DEVELOPMENT PLAN NAME: Jane Smith Effective Dates: January 1. 2000 Developmental Goal(s) - Describe current state, developmental need, rationale, and link to organizational goals/objectives: • Jane is an excellent coach. Our branch has 23 team members and only one supervisor, so we have a big opportunity for peer development coaching among our scientists and technicians. We want to develop her skills in this area and use her as a coach. • Jane's writing ability can be enhanced to improve the national information dissemination function, where the AA-ship has a weakness. She will contribute directly to the newsletter every month with our support. DEVELOPMENT PLANS /ACTIVITIES Description/Support Required, Success Measures Time Frame Work Assignments 1. Coach at least 10 staff members 2. Edit and produce an AA-ship newsletter to the regulated community • Identify key stakeholders • Consult with and gain input from all clients • Continuously benchmark at least three comparable newsletters • We will schedule time for staff performance coaching • Success will be measured against coaching objectives set and achieved in each (respective) agreement • Bench project assignment back up will be arranged by Team/Branch Manager This will require work-load shifting and staff resource backup to allow Jane sufficient time to devote to this newsletter All year with at least semiannual progress reports. Produce first edition by end of second quarter. Continue as appropriate — realistic schedule to be determined in first edition. ------- DEVELOPMENT PLANS /ACTIVITIES Description/Support Required, Success Measures Time Frame Self Development Activities: • Take desktop editing course • Read the "Art of Coaching" • Attend coaching seminar at NTL • WIC advanced spreadsheet applications course will bring Jane a new set of necessary skills in data management, as her job requires. Formal programs: None required now University of Maryland course in database management information systems for personal computers. This may be necessary if the WIC course fails to be effective. WIC course — free $14.95, Amazon.com Washington registration requires $300 registration fee. Time required to attend WIC course. We will reassess the need for a course at mid-year $385 ASAP, in the next 45 days April, 2000 February, 2000 September, 2000 See Reverse for Signatures ------- DEVELOPMENT PLANS /ACTIVITIES Description/Support Required, Success Measures Time Frame (Continuation from previous page - if necessary) I endorse the above developmental activities and will make resources available to realize them. Employee Signature Date Manager Signature Date ------- ENVIRONMENTAL PROTECTION AGENCY INDIVIDUAL DEVELOPMENT PLAN NAME: Effective Dates: Developmental Goal(s) - Describe current state, developmental need, rationale, and link to organizational goals/objectives: DEVELOPMENT PLANS /ACTIVITIES Description/Support Required, Success Measures Time Frame Work Assignments Self Development Activities; Formal programs; See Reverse for Signatures ------- DEVELOPMENT PLANS /ACTIVITIES Description/Support Required, Success Measures Time Frame (Continuation from previous page - if necessary) I endorse the above developmental activities and will make resources available to realize them. Employee Signature Date Manager Signature Date ------- |