United States
Environmental Protection
Agency
Office of Administration
and Resources Management
(3644A)
October 1998
&EPA
PERFORMS Training
for EPA Headquarters
Employees
Participant Guide
Planning
Performance
Monitoring
Performance
Developing
Performance
-------
About This Course
Introduction
This participant guide provides all of the information presented in
the introductory course on PERFORMS. This course will assist
you in improving or developing skills required to implement
PERFORMS. In addition, this course will provide further
instruction on the development and implementation of
Performance Plans. Because providing an atmosphere of open
communication and constructive feedback is the foundation for
successfully implementing PERFORMS, this workshop will also
provide you with the opportunity to practice giving and receiving
constructive feedback.
Training will be accomplished during a half-day interactive
activity-based training session with brief lectures, active
participant discussions, group discussions and exercises, and
small-group exercises. All exercise instructions and copies of
handouts are in this guide.
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 new program is to streamline and simplify the
current performance management process. PERFORMS was
designed in association with the unions and this program was
negotiated with AFGE and NTEU representatives.
As EPA transitions from the current five-level performance
management system to the two-level PERFORMS system, EPA
will train Headquarters employees on the criteria and procedures
necessary to participate in the program. In addition, EPA will
provide employees with comprehensive guides on the new
performance management process.
PERFORMS
-------
About This Course
Course Goal The overall goal of the course is to develop the necessary knowledge and
skills to meet the requirements of PERFORMS.
Coarse Objectives
At the end of mis course, you will be able to:
1. Explain PERFORMS, including its key features and components.
2. Demonstrate the principles for providing and receiving
constructive feedback.
3. Describe how performance is appraised and developed under
PERFORMS.
4. Explain the procedures for rewarding performance under
PERFORMS.
5. Provide answers to the ten most frequently asked questions about
PERFORMS.
PERFORMS
-------
About This Course
Course Schedule
The following is the schedule for this course.
Topic
Unitl
Unit 2
Units
Title
Introduction and Course Overview
Key Features of PERFORMS
Break
The Principles of Constructive
Feedback
Break
The Ten Most Frequently Asked
Questions
Summary and Evaluation
Total
Time
0:10
0:15
0:10
1:55
0:10
0:65
0:15
4:00
PERFORMS
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Introduction and Course Overview
Objectives
At the end of this unit, you will be able to
state the purpose of the course.
Scope
Introduction of instructor and participants,
overview of the course, any related
administrative matters, and answers to
questions about the course.
PERFORMS
-------
Introduction and Course Overview
Topic 1: Coarse Introduction
PERFORMS Training
Introduction and Course Overview
U.S. Environmental Protection Agency
Notes
Topic 2: Instructional Plan
Purpose of Course
4 To provide practice giving and receiving
constructive feedback
+ To provide answers to the ten most frequently
asked questions about PERFORMS
i-2
PERFORMS
-------
Introduction and Course Overview
Course Objectives
At the end of this course, you will be able to:
1. Explain PERFORMS
2. Demonstrate the principles for providing and
receiving constructive feedback
3. Describe performance appraisal and
development
4. Explain procedures for rewarding performance
5. Provide answers to the ten most frequently
asked questions about PERFORMS
Notes
Topic 3: Overview
Schedule
Introduction and Course Overview
Key Features of PERFORMS
Break
Principles of Constructive Feedback
Break
10 Most Frequent Questions
Course Review, Summary,
and Evaluation
Total
10 minutes
15 minutes
10 minutes
1 hour, 55 minutes
10 minutes
65 minutes
15 minutes
4 hours
PERFORMS
i-3
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Introduction and Course Overview
Topic 4: Administration Notes
There are no slides for this topic.
PERFORMS
-------
Unit 1: Key Features of PERFORMS
Objectives
At the end of this unit, you will be able to:
1. List the objectives and key features of
PERFORMS.
2. Identify the five components of
PERFORMS.
Scope
The purpose of this unit is to provide you
with an overview of the key features of the
new HQ PERFORMS Program. This unit
will include a brief description of the content
and components of PERFORMS.
PERFORMS
1-1
-------
Unit 1: Key Features of PERFORMS
Unit Introduction
PERFORMS Training
Unit 1: Key Features of PERFORMS
U.S. Environmental Protection Agency
Notes
Topic 1: What is PERFORMS?
Unit Objectives
1. List objectives and key features of
PERFORMS
2. Identify the five components of PERFORMS
1-2
PERFORMS
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Unit 1: Key Features of PERFORMS
Key Features of PERFORMS
+ Agency-wide system
+ Annual appraisal period Jan 1 to Dec 31
+ Mid-year feedback discussion & employee
development discussion required
f Two-level system
+ De-links cash performance awards from
ratings
+ Continuous feedback
Notes
Advantages of PERFORMS
PERFORMS is a process that:
+ Is simple
+ Is streamlined
+ Provides frequent & meaningful
communication
PERFORMS
1-3
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Unit 1: Key Features of PERFORMS
Topic 2: The Five Components of PERFORMS
The Five Components of
PERFORMS
Planning
Peiibnnance
Monitoring
Peifonnanc
PERFORMS
Appraising
Developing
Notes
1-4
PERFORMS
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Unit 2: The Principles of Constructive Feedback
Objectives
At the end of this unit, you will be able to:
1.
Discuss how feedback fits into PERFORMS,
including why it is important.
Define constructive feedback.
Demonstrate the principles of giving and receiving
constructive feedback.
Scope
The purpose of this unit is to provide you with detailed
information on constructive feedback including: how it fits
into PERFORMS, and why it is important. In addition, tips
will be provided on how to give and receive constructive
feedback. Activities for practicing these tips are included.
PERFORMS
2-1
-------
Unit 2: The Principles of Constructive Feedback
Unit Introduction
PERFORMS Training
Unit 2: The Principles of
Constructive Feedback
U.S. Environmental Protection Agency
Notes
Unit 2 Objectives
1. Discuss how feedback fits into PERFORMS
2. Define constructive feedback
3. Demonstrate the principles of giving and
receiving constructive feedback
2-2
PERFORMS
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Unit 2: The Principles of Constructive Feedback
Topic 1: How Feedback Fits into PERFORMS
Feedback and PERFORMS
Feedback critical to the success of
PERFORMS
Open communication between employee
and supervisor vital to performance
Notes
Topic 2: Providing Constructive Feedback
Constructive Feedback
Providing positive and negative
information to an employee in order to:
improve performance
encourage the continuance of desired
behavior
PERFORMS
2-3
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Unit 2: The Principles of Constructive Feedback
Elements of Constructive Feedback
+ Presented in a noncritical manner
+ Reinforces positive behaviors and
corrects unsatisfactory behaviors
+ Recognizes outstanding performance
Notes
Feedback Tips
+ Direct
+ Immediate
+ Specific
+ Focused on the Work Issue
+ Balanced
PERFORMS
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Unit 2: The Principles of Constructive Feedback
Class Discussion of Feedback Examples
Listen to the instructor read the following examples of feedback. After each one, ask yourself
if you think it is constructive feedback.
1. I really enjoyed the way you handled the staff meeting when you were filling in for Alice
this week. You kept on schedule, did a good job of leading discussion, and made it fun for all
ofus.
2. John Smallwood in the Multimedia Division asked me to tell you that he thought you
needed work on giving presentations.
3. You really need to improve your attitude if you are going to continue working here.
4. You did a great job with the report on pollution in the Mississippi River that you finished
last week. It was clear, easy to follow, and had great illustrations.
5. We couldn 't discuss the first topic on the agenda at the staff meeting because you arrived
late and were going to bring the budget. We were looking forward to seeing what you came up
with.
6. Have you ever considered taking a course in English grammar?
Tip About Positive Feedback:
Remember to Give It!
Notes
PERFORMS
2-5
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Unit 2: The Principles of Constructive Feedback
Giving Feedback
When you . . .
I'm concerned. .
Because I ...
^^ I would like . . .
^
. Pause Because . . .
c
What do you
think?
Notes
2-6
PERFORMS
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Unit 2: The Principles of Constructive Feedback
Communication Techniques For Giving Negative Feedback
Step
"When you..."
"I'm concerned..."
"Because I..."
Pause and listen for
response
"I would like..."
"Because..."
"What do you think?"
Explanation
State specific facts of behavior
(non-judgmental).
Describe how behavior affects
you or the office.
State why the observed behavior
affected you in this way.
Give the other person an
opportunity to respond.
Describe change you want other
person to consider.
State why the change is needed
Listen to response. Discuss
options and compromise on a
solution, if necessary.
Example
When you do not attend staff meetings like
you did today and last week...
I get concerned...
because I value your contributions. You play
an important role in this office accomplishing
its goals.
I would like you to consider planning your
schedule so that you can attend meetings, or
calling in advance if there is an important
reason for the meeting to be rescheduled.
Because you are a valuable member of our
team and we miss your input when you are
not there.
One way to ensure that both our needs are
met is to...
PERFORMS
2-7
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Unit 2: The Principles of Constructive Feedback
Topic 3: Receiving Constructive Feedback
Responding to Feedback
+ Understanding the feedback through
active listening
+ Identifying problem behaviors
+ Forming an action plan
Notes
Listening Process
+ Attending
+ Interpreting
+ Responding
2-8
PERFORMS
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Unit 2: The Principles of Constructive Feedback
Active Listening
4- Concentrating
+ Not interrupting
+ Seeking the meaning
+ Asking questions
Notes
Key Considerations for
Effective Listening
+ Some actions are observable
+ Some actions have verbal and nonverbal
components which may not coincide
+ Both nonverbal and verbal actions should
be considered
PERFORMS
2-9
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Unit 2: The Principles of Constructive Feedback
Activity 2-1 Giving and Receiving Constructive Feedback
Directions: Divide into small groups of three. The roles within each group will be "person
giving feedback" and "person receiving feedback." The third member of the
group will assume the role of "observer."
You will role play three feedback situations. Assign numbers 1 to 3 to your
group members. The numbers correspond to the role plays in your participant
guide. You should only read the role play for your own scenario. The
scenario is written for the person giving feedback. For each role play you
should assign someone to receive the feedback and to be the observer.
The observer needs to complete two observation forms: one for the person
giving feedback and one for the person receiving feedback.
You will have 15 minutes for each role play.
2-10 PERFORMS
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Unit 2: The Principles of Constructive Feedback
Activity 2-1
Observation Form for Person Giving Feedback
Person Observed
Rating Comments
Fair Good Excellent
Feedback was:
Relevant to the specific task n n n
Tied to specific goals n n n
Only about behavior the
employee could control n n n
About positive performance no n
About areas in need of
improvement n n n
PERFORMS 2-11
-------
Unit 2: The Principles of Constructive Feedback
Person Observed
Attending:
Eye contact
Nodding head
Not interrupting
Activity 2-1
Observation Form for Person Receiving Feedback
Rating
Fair Good Excellent
Comments
Responding:
Asking questions
Paraphrasing
D
D
D
D
D
D
D
D
D
Interpreting:
How well did the
listener appear to
understand the feedback?
2-12
PERFORMS
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Unit 2: The Principles of Constructive Feedback
Activity 2-1
Role Play #1
An experienced administrative assistant has been showing signs of problem performance for
the past couple of months. When she started her job a year ago, she was completing all of
her tasks efficiently and on time. However, two months ago, the quality of her work started
to deteriorate. Although she was still completing work requests on time, numerous errors
began appearing in her word-processing documents and she was not completing important
administrative matters. Yesterday a document that was sent to the regions for review had
several embarrassing typos, including referring to the "manager" of the office as the
"manger" of the office and giving his name as "Toad," rather than "Todd."
PERFORMS 2-13
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Unit 2: The Principles of Constructive Feedback
Activity 2-1
Role Play #2
A biologist with the Office of Science and Technology has recently shown problems in
performance. You have noticed that hi the past three months, he is not as active and
involved with his team as he once was. Lately, members of his water quality model team
have complained that it is hard to get in touch with him to answer questions about then* work
and he has canceled important team meetings. His team also missed a publication deadline
because he tailed to deliver his research report on time. You have noticed, however, that the
quality of his work has not fallen.
2-14 PERFORMS
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Unit 2: The Principles of Constructive Feedback
Activity 2-1
Role Play #3
A relatively new manager is finding an unwillingness among her new employees to complete
her work requests. She is much younger than many of her new staff, who have been with
EPA for a number of years. Staff under the new manager have expressed to others that they
feel they are being ordered around. They also express concern and frustration because the
new manager has not taken the time to "get to know" her new staff. Her office is not as
efficient as it once was before she arrived hi terms of responding to public inquiries and you
received a complaint yesterday that she had not responded hi two months to an inquiry from
Standard Oil.
PERFORMS 2-15
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Unit 2: The Principles of Constructive Feedback
Discussion of Activity 2-1
Discussion Points
+ Feedback Skills
Non-critical
Specific
Feedback given on good and bad
behaviors
Feedback given on behaviors an
employee can control
Notes
Discussion Points
+ Active Listening Skills
Attend to
Not interrupted
Meaning sought
Questions asked
2-16
PERFORMS
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Unit 2: The Principles of Constructive Feedback
Unit Summary
Unit Summary
+ Constructive feedback is the most important
aspect to PERFORMS.
+ Constructive feedback is the result of open
and honest communication.
+ Constructive feedback and active listening
should be used on the job regularly.
Notes
PERFORMS
2-17
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Unit 3: Ten Most Frequently Asked Questions
Objectives
At the end of this unit, you will be able to
answer the ten most frequently asked
questions about PERFORMS.
Scope
This unit will present and answer the ten
most frequently asked questions about
PERFORMS. The questions will cover
linking Performance Plans to EPA's
goals, the difference between a measure
and a standard, standards for resource
managers, the definition of retention
standards, the sources of appraisal input,
the appraisal process, how to develop an
Individual Development Plan,
performance expectations, how to
nominate someone for an award, and the
proposed Awards Board process.
PERFORMS
3-1
-------
Unit 3: Ten Most Frequently Asked Questions
Unit Introduction
PERFORMS Training
Unit 3: The 10 Most Frequently
Asked Questions
U.S. Environmental Protection Agency
Notes
Unit 3 Objective
Be able to answer the ten most
frequently asked questions about
PERFORMS
3-2
PERFORMS
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Unit 3: Ten Most Frequently Asked Questions
The Ten Most Frequently Asked Questions
Notes
j 1. How do performance plans link to EPA's goals?
! 2. What is the difference between a measure and a
I standard?
| 3. What are retention standards?
4. Are there mandatory standards for resource managers?
5. What are sources of appraisal input?
6. What is the end-of-year appraisal process?
7. How do you develop an individual development plan?
8. What are the performance expectations made by
PERFORMS?
9. What procedure is used to recommend an employee for
an award?
10. What is the awards process?
PERFORMS
3-3
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Unit 3: Ten Most Frequently Asked Questions
Question 1
How Do Performance Plans Link to EPA's Goals?
Notes
EPA's Goals
i
l
: 1. Clean air
1 2. Clean & safe water
| 3. Safe food
4. Prevent pollution and reduce risk
5. . Better waste management, restoration of contaminated
waste sites, & emergency response
6. Reduce global & cross-border environmental risks
7. Expand Americans' right to know about their
environment
8. Provide sound science, improve understanding of
environmental risk, & increase innovation
9. Provide a credible deterrent to pollution
10. Provide effective management
Link Between EPA Goals and
Individual Goals
EPA goal
1
Workgroup
goal
1
Your personal
goal
Expand Americans' right to know
about their environment
Produce brochure on water
pollution in six major U.S. rivers
Develop graphics for the
brochure
3-4
PERFORMS
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Unit 3: Ten Most Frequently Asked Questions
Question 2
What is the Difference Between a Measure and a
Standard?
Notes
General Performance Measures
+ Quality
+ Quantity
+ Timeliness
+ Cost effectiveness
+ Manner of performance
Other Performance Measures
+ Strategic effectiveness + Productivity
+ Stakeholder satisfaction 4- Budget approval
+ Flexibility & innovation + Financial management
PERFORMS
3-5
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Unit 3: Ten Most Frequently Asked Questions
Each Measure Must Have a Standard
General Measure
Timeliness
provided
Quality
Quantity
Specific Measure
Response Time
Error Rate
Number of
Inspections
Standard
Routinely answers
provided within 3
days
Fewer than 2%
incorrect answers
A minimum of at
least two
inspections/month
Notes
3-6
PERFORMS
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Unit 3: Ten Most Frequently Asked Questions
Sample Performance Plan #1
HQ EPA Performance Plan
Name: Computer Analyst
Office: OARM/OHROS/SPPS
Year: June 1 - December 31,1998
Element: Provide functional computer systems to employees in the department
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
Assumption (if applicable):
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
Process high-priority requests for computer maintenance to completion, including conducting the
maintenance, usually within one working day
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
PERFORMS 3-7
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Unit 3: Ten Most Frequently Asked Questions
Elements, Measures, and Source of Input for
Sample Performance Plan #1
Element
1. Provide functional computer
systems to employees in the
department
General
Measure
Timeliness
Source of
Input
As shown in
the request log
Specific Measure/Standard
usually within two weeks of receiving
the request
2. Maintain computer systems
Timeliness
Manner of
Performance
Timeliness
Maintenance
SOPs
Maintenance
SOPs
As shown in
the request log
and
Maintenance
SOPs
As shown in
the request log
and
Maintenance
SOPs
Conduct maintenance on a monthly
basis
Prioritize requests by order of
importance
Process routine requests for computer
maintenance to completion, including
conducting the maintenance, within
two working days.
Process high-priority requests for
computer maintenance to completion,
including conducting die maintenance,
usually within one working day
3-8
PERFORMS
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Unit 3: Ten Most Frequently Asked Questions
Sample Performance Plan #2
HQ EPA Performance Plan
Name:
Office:
Year: June 1 - December 31,1998
Element: Customer service: Provides customers with timely, accurate, and reliable information and
guidance on OHROS products, programs, and services.
Type of Element: Critical XAdditional Q
Standards and Measurement Sources:
Generally meets customer information and guidance needs
Usually communicates and exchanges information in such a way as to meet customer expectations
Communicates effectively within and outside the organization \
From time-to-time, solicits customer feedback on information and guidance providedj -^
Assumption (if applicable):
Element Rating: Successful Q Unacceptable Q
Element: Customer service: Provides products and services that are timely and high quality.
Type of Element: Critical X Additional Q
Standards and Measurement Sources:
Generally delivers products and services on schedule that are useful to the customer
Typically provides service which is considered courteous and responsive to customer issues and concerns
and which demonstrates a basic level of understanding of the client's program and work
Usually deals with problems in a timely manner and acts to resolve them with tact and diplomacy
Strives to ensure customer's input is factored into problem-solving process
From time to time, solicits customer feedback to improve/enhance the quality of the products or services
provided^} fVi^-^-ve^^"
/
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
PERFORMS 3-9
-------
Unit 3: Ten Most Frequently Asked Questions
Elements, Measures, and Source of Input for
Sample Performance Plan #2
Element
1. Customer service: Provides
customers with timely, accurate,
and reliable information and
guidance on OHROS products,
programs, and services.
2. Customer service: Provides
products and services mat are
timely and high quality.
General
Measure
Quality
Timeliness
Quality
Timeliness
and Quality
Timeliness
and Quality
Source of
input
Supervisor
observation of
number of
complaints
from the
customer and
within the
organization
Product
delivery and
service
schedule
Supervisor
observation of
number of
complaints
uuui me
customer
Customer
survey forms
Customer
survey forms
Specific Measure/Standard
Generally meets customer information
and guidance needs
Usually communicates and exchanges
information in such a way as to meet
customer expectations
Communicates effectively within and
outside the organization
From tune-to-time, solicits customer
feedback on information and guidance
provided
Generally delivers products and
services on schedule that are useful to
the customer
Typically provides service which is
considered courteous and responsive to
customer issues and concerns and
which demonstrates a basic level of
understanding of the client's program
and work
Usually deals with problems in a
timely manner and acts to resolve them
with tact and diplomacy
Strives to ensure customer's input is
factored into problem-solving process
From time to time, solicits customer
feedback to improve/enhance the
quality of the products or services
provided
3-10
PERFORMS
-------
Unit 3: Ten Most Frequently Asked Questions
Question 3
What are Retention Standards?
Retention Standards
+ Retention Standards - measures that identify
the specific requirements that must be met to
achieve a successful rating and, ultimately, be
retained in the position.
+ Absolute Retention Standards - standards that
allow no room for errors.
Notes
Retention Standards
+ Are reasonably attainable
+ Should not be absolute
+ Inform the employee of the level of
performance needed to retain his or her job
PERFORMS
3-11
-------
Unit 3: Ten Most Frequently Asked Questions
Examples of Retention Standards
+ Rather than writing:
- Produces reports on schedule (implies always)
4 Write:
- Routinely produces reports on schedule (allows for
an occasional late report)
+ Or, better yet:
- Produces at least 80% of the assigned reports on
schedule (very specific)
Notes
3-12
PERFORMS
-------
Unit 3: Ten Most Frequently Asked Questions
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.
Ask yourself the following questions when writing standards. This can help you avoid writing absolute
standards.
How many times may the employee fail this requirement and still be acceptable?
Does the standard use words such as 'all,' 'never,' and 'each'? These words do not automatically
create an absolute standard, but they often alert you to problems.
If the standard allows for no errors, would it be valid according to the criteria listed above (risk of
death, etc.)?
Check 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.
Are the standards attainable? Are expectations reasonable?
Are the standards challenging? Does the employee need to exert a reasonable amount of effort to
reach fully successful performance level?
Are the standards fair? Are they comparable to what is expected of employees in similar positions?
Do they allow for some margin of error?
Are the standards applicable? Can the appraisers) use the standards to appraise performance? Can
the appraisers) manage the data collected through the measurement process?
Can the elements and standards be communicated and understood? Can employees be expected to
understand what is required?
Are the standards flexible? Can they be readily adapted to changes in resources or objectives?
PERFORMS 3-13
-------
Unit 3: Ten Most Frequently Asked Questions
Question 4
Are there Mandatory Standards for Resource
Managers?
Standards for Resource Managers
+ Resource managers might have one or
more critical elements with multiple
standards
+ When managing resources is incidental
to the assignment, add a resource
management standard to a critical
element
Notes
Examples of Standards for
Resource Managers
Critical Element: Coordinates and implements
the XYZ Program
General Measure: Financial management
Specific Measure: Budget tolerances
Standard:
Budget items within 5 percent
of target
3-14
PERFORMS
-------
Unit 3: Ten Most Frequently Asked Questions
Question 5
What are Sources of Appraisal Input?
Sources of Appraisal Input
+ Manual or Automated
Tracking systems
+ Direct observation of:
- supervisor
- designated rater
- team leader
+ Client/Customer
feedback
+ Surveys
+ Audits
f Written products
+ Team members
Notes
PERFORMS
3-15
-------
Unit 3: Ten Most Frequently Asked Questions
Appraisal Cover Sheet
HQEPA
PEFORMS
Appraisal Cover Sheet
I Employee Name;
\SSN:
} Office:
\CalendarYcar:
Formal Progress Reviews):
(doled & initialed)
element is unacceptc&le, then the
successful
3)Additiof
into stannary JeveL
Summary Level:
Success/id
Unacceptable
^ I hmduaased my pciformir& for tiwperud inflation 10 my
performance measures end standards, end »iy supervisor hta oifon*eet»K of my rataigcf
Employee's Signature/Date:
Supervisor(s) 's Signatures/Date:
Supervisor's Comments:
Employee's Comments:
3-16
PERFORMS
-------
Unit 3: Ten Most Frequently Asked Questions
Question 6
What is the End-of-the-Year Appraisal Process?
The Appraisal Process
Review
ppraisal
nput
signthe I Approve
rating
Communicate
the rating
Notes
PERFORMS
3-17
-------
Unit 3: Ten Most Frequently Asked Questions
Question 7
How Do You Develop an Individual Development
Plan?
Individual Development Plans
+ Conduct self-assessment
+ Identify opportunities and other
options for career growth
Notes
3-18
PERFORMS
-------
Unit 3: Ten Most Frequently Asked Questions
Question 8
What are the Performance Expectations Made by
PERFORMS?
Performance Expectations
PERFORMS heightens expectations for
employee performance because coaching,
feedback and recognition will increase
extraordinary performance.
Notes
Performance Expectations
Supervisors should take every opportunity to:
- Communicate mission, goals and individual
performance
- Encourage excellence
-Articulate and model excellence
- Ensure that employees have the knowledge
and skills necessary to achieve
- Provide feedback often
PERFORMS
3-19
-------
Unit 3: Ten Most Frequently Asked Questions
Question 9
What Procedure is Used to Recommend an
Employee for an Award?
Types of Awards
+ Non-Monetary
+ Monetary
+ Time-Off Awards
+ Quality Step Increases (QSI)
Notes
Procedures for Recommending a
Monetary Award
+ Complete EPA form 3130-1, Recommendation for
Incentive Recognition
+ Include additional narrative justification
- describe in simple, factual terms
- cite the Tangible or Intangible table used to
determine the benefits
+ Discuss with HR Officer or Local Awards Coordinator
+ File copy of approved form in employee's performance
file
3-20
PERFORMS
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Unit 3: Ten Most Frequently Asked Questions
Awards Form
EPA
UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY
RECOMMENDATION FOR INCENTIVE RECOGNITION
Directions: Check below a* appropriate. Refer to Recognition Manual 3130 for criterion. For monetary awards, cite appropriate table, calculation of tangible benefit and/or
extent and (cope of intanflibte benefits in written description.
[] "Q" Award - QUALITY ACCOMPLISHMENT RECOGNITION AWARD. The Agency's highest monetary award. Exceeds criteria for "S" Award, for
exceptional and rare accomplishments. (Attach detailed description of accomplishments.)
[] QUALITY STEP INCREASE (QSI) - Step increase to base salary; based on high quality performance during most recent rating period of record; and,
anticipated during next rating period. Employee may receive no more than one QSI in a 52 week period (Attach completed EPA Form 3130 - QSI)
[] "S" Award- SUPERIOR ACCOMPLISHMENT RECOGNITION AWARD - For noteworthy accomplishments including one-time acts or high quality
performance. (Attach brief description of accomplishments).
[] On-The-Spot (OTS) - Same general criteria as "S" Award, except intended to recognize modest accomplishments quickly. Maximum cash value: $250.
(Attach brief description of accomplishments).
D TIME-OFF AWARD (TO) - Award of excused absence, in increments of from 1 hour to 40 hours, for noteworthy achievements, either one-time acts or
performance. (Attach description of achievement).
D T Award - TEAM AWARD - For accomplishments by entire team, individual team members, and/or team peers on a team. (Attach brief description of
achievement, as appropriate, description of individual member achievement & justification of cash amounts other equal shares) Indicate whether this is a
"Q" or "S" Award.
D Award to entire Team
[] Award to Individual Team Members)
POSITION TITLE, SERIES, GRADE/STEP
ORGANIZATION AM) LOCATION
SOCIAL SECURITY NUMBER
TIMEKEEPER NUMBER
PERSON TO RECEIVE CHECK
PERIOD OF SERVICE ON WHICH AWARD IS BASED
FROM
TO
OFFICIAL
SIGNATURE
NOMNATINC
IMPLOYEXCPUR)
RZCOMMTNDING
OFFICIAL
APPROVING omcui.
OBLIGATION OFFICIAL
AmtOP.CGOE
PROGRAM ELEMENT
OBJECT CUSS
PERFORMS
3-21
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Unit 3: Ten Most Frequently Asked Questions
Type of Awards
Award
Classification
Description
Formal Honor Award
A non-monetary award given for die recognition of
employees or teams for exceptional, distinguished, or
heroic individual or group achievements.
Non-
Monetary
Informal Recognition
A non-monetary award granted to an employee or team to
recognize accomplishments of lesser scope man would be
recognized by a formal honor award or monetary award.
Monetary
Individual/Team
Awards
Quality Awards
(Q Award)
Superior
Accomplishment
Recognition Awards
(S Award)
On-the-spot Awards
This award is given to recognize an employee or a team for
their exceptional and rare accomplishments of
extraordinary scope, impact, difficulty, and precedent. This
award is intended to recognize an employee or team which
displays the highest level of accomplishment mat can be
achieved in the Agency. The value for this award is
between $5,000 to $10,000.
This award is given in recognition of a one time special act,
service or achievement of a non-recurring nature, and for
high quality performance of assigned duties by an
employee or a team of employees. The value for mis award
is up to $5,000.
This award is given in recognition of a one time special act,
service or achievement of a non-recurring nature, and for
high quality performance of assigned duties by an
employee or a team of employees. This award is limited to
not more man $250.
Quality Step
Increases
(QST) Quality Step Increases (QSIs) are additional salary step increases granted for
continuing high quality performance during a rating period and for expected
maintenance of high quality performance over the next rating period.
Tine-off
Awards
Time-off awards or incentive awards are intended to reward one-time, non-recurring
employee contributions to the quality, efficiency, effectiveness and/or economy of
EPA operations. Forty hours can be given during any particular pay period and 80
hours during a leave year, unless there is approval at the AA level
3-22
PERFORMS
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Unit 3: Ten Most Frequently Asked Questions
Peer Nomination Process
The process that allows a non-supervisory employee to nominate another non-supervisory co-worker
(who has established a working relationship with the nominee) for an award - either an informal non-
monetary or a monetary award.
Non-monetary
When a peer nominates an employee or team for a non-monetary award, it is
intended to recognize accomplishments of lesser scope than would be recognized
by a formal honor award or monetary award.
Monetary
Up to $250 can be awarded by peer nomination, but there is no limitation to the
total number of monetary awards mat can be granted within the performance
period as long as the criteria for recognition is met.
PERFORMS
3-23
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Unit 3: Ten Most Frequently Asked Questions
Guidelines for Monetary Awards
Based on Tangible Benefits
Estimated First Year Benefits to
Goveraiaeat
Amoaot of Award
Up to $10,000 in benefits
10% of benefits
Between $10,000 and $100,000 in benefits
$1,000, plus 3% to 10% of benefits over $10,000
More than $100,000 in benefits
$3,700 to $10,000* for the first $100,000 in
benefits
plus
0.5% to 1.0% of benefits above $100,000
* NOTE: For awards over $10,000, the approval authority is the Office of Personnel
Management For Awards over $25,000, the approval authority is the President of
the United States through the Office of Personnel Management
3-24
PERFORMS
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Unit 3: Ten Most Frequently Asked Questions
Guidelines for Q Awards
Based on Intangible Benefits
Value of
fbe Benefit
Extent of Application
Broad
Ifeecoatr&Btka affects the
employees of offices or larger
organization.
A broad area of science,
tut environmental element that
has been affected.
General
Hie cootrlbotioa aflfeefeibe
dirties, work assignments, and
employees of mattiple agencies
or are Agency-wide,
An extensive ares of science,
technology, a program, legal or
environmental element mat has
been affected.
High Value
A superior contribution to a critical or
sensitive product, activity, program or
service which substantially improves the
effectiveness, efficiency, quality,
productivity or service.
A complete revision of operating principles
or procedures.
This cell is not applicable for
Suggestions, Team Award or
Q-Award.
$5,001 - $6,300
Exceptional Value
An extraordinary contribution to a highly
critical or highly sensitive product, activity,
program, or service which defines a new
standard of excellence for effectiveness,
efficiency, quality, productivity or service.
Initiation of a new principle or major
procedure with extensive impact
$5,001 - $6,300
$6,300 - $10,000
PERFORMS
3-25
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Unit 3: Ten Most Frequently Asked Questions
Guidelines for S Awards
Based on Intangible Benefits
Vatae of the Benefit
Moderate Value
A limned contribution to
a product, activity,
program or service which
improves the
effectiveness, efficiency,
quality, productivity, or
service.
Substantial Value
A noteworthy
contribution to a product,
activity, program or
service which improves
efficiency, quality,
productivity, or service.
A revision to a major part
of an operating principle
or procedure.
Extent of Application
Limited
The contribution
affects the daties,
and employees of
one division or
office.
A landed area of
science, technology,
a program,
legal etenent that
has been affected.
$25 -$125
$125 - 325
Extended
The contribution
affects the duties,
work assignments,
and employees of
multiple divisions or
offices.
A substantial area of
science, technology,
a program,
environmental or
tegal element that
has been affected.
$125 -$325
$325 - $600
Broad
Theeontributjon
affects me duties,
and employees of
offices;*0r larger
A broad area of
science, technology,
aprogram,
environmental or
legal element that
has been affected.
$325 - $650
$650 -$1,300
General
The contributtos
affects the duties,
and employees of
muttipie agencies or
are Agency-wide.
An extensive area of
science, technology,
a program,
mvii.mmidjmu vt
legal dement mat
has been affected.
$650 - $1,300
$1,300 -$3,100
3-26
PERFORMS
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Unit 3: Ten Most Frequently Asked Questions
Value of the Benefit
High Value
A superior contribution to
a critical or sensitive
product, activity, program
or service which
substantially improves the
effectiveness, efficiency,
quality, productivity or
service.
A complete revision of
operating principles or
procedures.
Exceptional Value
An extraordinary
contribution to a highly
critical or highly sensitive
product, activity,
program, or service which
defines a new standard of
excellence for
*" * ff *
ellccuveness, crnciency,
quality, productivity or
service.
Initiation of a new
principle or major
procedure with extensive
impact.
Exteat of Application
limited
The contribution
affects the duties,
work assignments,
and employees of
one division or
office.
A limited area of
science, technology,
a program,
environmental or
legal element that
has been affected.
$325 - $650
$650 -$1,300
Extended
The contribution
affects the duties,
work assignments,
and employees of
multiple divisions or
offices.
A substantial area of
science, technology,
a program,
environmental or
legal element that
has been affected.
$650 - $1,300
$1,300 - $3,150
Broad
The contribution
; affects the duties,
work assignments,
and employees of
offices or larger ;
organization. :
A broad ares of
science, technology,
a program.
environmental or
legal clement that
has been aSectcd.
$1,300 -$3,150
$3,150 - $5,000
General
The contribution
affects me duties,
work assignments,
and employees of
multiple agencies or
are Agency-wide.
An extensive area of
science; technology,
a program.
en\su4)UxjLA&iwti or
legal element that
has been affected.
$3,150 -$5,000
This cell is not
applicable to the S-
Award.
PERFORMS
3-27
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Unit 3: Ten Most Frequently Asked Questions
Criteria Information for Quality Step Increases
Criteiia Information
Qualify Step Increases
What is the purpose
of Quality Step
Increases?
Are additional salary step increases for continuing high quality performance
during a rating period and for expected maintenance of high quality performance
over the next rating period.
A QSI may be granted to an employee when: (a) the employee's most recent
performance rating of record is successful and the recommending official certifies
the employee's performance was at a high level of performance during the period
covered by the most recent rating; and (b) the recommending official anticipates
that the employee's performance during the next performance rating period will
merit a successful rating, and will continue at a high level of performance.
Who is eligible for
these awards?
May be granted to General Schedule employees who occupy permanent positions,
or who are serving in a term or Temporary Appointment Pending Establishment
of a Register (TAPER) position, and are paid less man the maximum rate of their
grade.
Agency employees on Intergovernmental Personnel Act assignments are not
eligible for Quality Step Increases.
Are there any
limitations?
An employee may receive only one Quality Step Increase in any 52 week period.
Are there any special
stipulations to these
awards?
Quality Step Increases are granted hi conjunction with the employee's annual
performance appraisal.
Recommending official will complete EPA Form 3130-1 and Form 3130-QSI for
processing.
Approved Quality Step Increases will be effective as soon as practicable after all
approvals have been received.
3-28
PERFORMS
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Unit 3: Ten Most Frequently Asked Questions
Activity 3-1: Awards Nomination
Directions: Review the three scenarios of excellent employee performance. After
reviewing the scenarios, determine which employees to recommend
for an award and which type of award they should receive.
Refer to the reference information before this exercise hi this Participant Guide. The chart, Types
of Awards, may be particularly useful to you. Be specific and creative hi this activity. At the end
of the activity, class will discuss the recommendations.
Scenario: You are a supervisor hi the Environmental Compliance division at EPA and are
reviewing a number of employees in your division for awards.
Who would you nominate for an award? What type of award would you nominate them for
(Le., informal non-monetary or monetary)?
Why would you nominate the individuals you chose for awards? Why did you not
nominate the others?
PERFORMS 3-29
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Unit 3: Ten Most Frequently Asked Questions
Employee Information
Employee #1: Elda Price, your office clerk, has been doing her daily tasks of filing, writing
memos, scheduling your appointments, and other assorted administrative
functions exceptionally well since she joined your office a year ago. Nobody ever
calls with complaints about her work and you have received many comments on
what a pleasure it is to deal with her.
Employee #2: Moss Green is a relatively new EPA site inspector. He has been on the job for a
little over 8 months. From your discussions with his other supervisors, you find
out that Mr. Green is typically the first one of his team to volunteer for new
projects and take on new responsibilities. In addition, he is typically the first team
member in every morning and one of the last, if not the last, to leave at the end of
the day. His work has been of high quality and he has recently uncovered a
number of problems at chemical plants, including waste elimination into a river
and groundwater contamination.
Employee #3: Susan Sunny, is a EPA OSHA inspector. She has been on the job for five years
and has regularly received praise from her supervisors. In addition, Miss Sunny
initiated a community-based Clean Up Our Streets Program. This program has
been driven by her overwhelming passion to clean up her own community in the
Washington area. It has been so well received by her community that it has
attracted local and national media coverage. EPA is considering making this a
national program.
3-30 PERFORMS
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Unit 3: Ten Most Frequently Asked Questions
Question 10: What is the Awards Board Process?
Awards Boards Authority and Purpose
Headquarters employees covered by
Awards Board are assigned to positions that
are part of the bargaining unit, i.e. AFGE
Local 3331 or NTEU Chapter 280.
Notes
Awards Covered Under the Awards
Board Process
Agency-level awards like:
+ Gold
f Silver
+ Bronze
+ Quality Awards (Q Award)
+ Superior Accomplishment Recognition
Awards (S Award)
PERFORMS
3-31
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Unit 3: Ten Most Frequently Asked Questions
Section 4 Awards Board and Awards
Procedures
Negotiated Agreement Between:
+ AFGE Local 3331
+ NTEU Chapter 280
+ EPA Headquarters Management
For more information, visit the EPA Intranet:
http://intranetepa.gov/agcyintr/ohros/awdsboard.htm
Notes
3-32
PERFORMS
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Unit 3: Ten Most Frequently Asked Questions
The Award Board Process
The Non-Awards Board Process
Supervisor or peer
nominates.
Designated official
collects/batches
nominations for next
board meeting.
Board reviews
nominations and sends list
of recommendations and
nominations not
recommended to manager
at board level
Designated official
distributes to supervisors
with delegated authority
to approve.
Supervisor approves/
disapproves; for peer
nominations, decides
award amount
Designated official
compiles list of award
decisions
If board is division level,
office director initials list
of award decisions.
Award is made.
Board reviews batch of
management actions.
Board discusses its
written comments with
board-level manager.
Designated rater nominates
(initials) or the supervisor
with delegated authority
approves.
For designated rater
nominations, the supervisor
with delegated authority
approves/disapproves.
Award is made.
PERFORMS
3-33
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Unit 3: Performance Appraisal & Development
Unit Summary Notes
PERFORMS
-------
Summary and Evaluation
Scope
Review of course
topics, development
of action plan,
evaluation of course.
PERFORMS
S-l
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Summary and Evaluation
Topic 1: Course Review
PERFORMS Training
Summary and Evaluation
U.S. Environmental Protection Agency
Notes
Key Resources
+ lntranetepa.gov/agcytntr/ohros
+ HQ PERFORMS Supplemental Guidance
+ Your HR Office
+ Your union agreements
+ HQ Briefing
+ Developing Your Strengths Workbook
S-2
PERFORMS
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