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

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                                                          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

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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

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                                                           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

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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

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                                 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

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                               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

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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

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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

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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

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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

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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

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                   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

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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

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                        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

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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

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                  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

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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

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                 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

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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

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                  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

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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

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                                         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

-------