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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- 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 ------- |