EPA
REGION III
manager's Survival Guide
U.S. Environmental
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PREFACE
***- ¦
This 'Survival Guide" was developed for Region III Managers. It is
intended to answer many of the basic day-to-day questions you as a
Supervisor might have about Regional policies, guidance and
procedures. The chapters are concise but do address most of the
non-technical issues you will routinely face. Where more detailed
information is desirable or necessary, the chapter contains
references.
The Introduction to this "Survival Guide" was designed a little
differently. The "Philosophy of Region III Supervision" was
developed and endorsed by senior management. It lays out
a set of basic principles that formalize the human resources
responsibilities of all managers.
The Expectations of Supervisors, Managers and Executives builds
on the Philosophy by listing specific duties and responsibilities
at each level of supervision. They were developed partly in
response to the questions raised at the 1987 meeting of all
regional managers on the balance between human resources
and program responsibilities and the idea that there should
be significant equivalency in supervision no matter what the division
or office.
The Basics focuses on the essence of what management is and
how to do it most effectively. The techniques described have
historically worked and are strongly suggested for your use.
The following individuals deserve special credit for their contributions
to the preparation of this document-
Joseph Piotrowski
Stella Bregman
Andrew Carlin
Dennis Carney
Michael D'Andrea
Diana Esher
Kathyrn Hodgkiss
John Krakowiak
Mick Kulik
Kenneth Kryszczun
Linda Marzulli
Robert Mitkus
Alvin Morris
Anita Provenzano
Roland Schrecongost
Thomas Stolle
Carolyn Williams
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fable of Contents
Region III Philosophy of Supervision 1
Region III Expectations of Supervisors, Managers
and Executives 2-12
Chapter
1 Injuries at Work 13
. 2 Security Practices and Procedures 15
3 Time and Leave . 17
4 Filling a Position 29
5 Employee Performance Standards and Appraisals 33
6 Travel . 37
7 Rotational, Details, Transfers and IPAs 43
8 TrainingllDPs 45
9 Employee Recognition and Awards 47
10 Hazardous Duty Pay 49
11 Communications: Staff Meetings 51
12 Equipment, Furniture, Supplies and Property 53
13 Procurement 55
14 Conflict of Interest 57
15 EEOIAffirmative Action 61
16 Special Employment Programs 63
17 Recordkeeping 67
18 The Privacy Act 71
19 Grievances 73
20 Counseling Employee Problems 75
21 Labor Relations 77
22 Merit Pay, Cash Awards and Appraisals for Managers ..81
23 Sexual Harassment 85
24 Personal Business and Gambling at Work 87
25 Taking Action on the Problem Employee 89
26 The Budget 95
27 Correspondence Front Office Formats 101
Appendix
A The Basics of Management 105
B (Add your own references) 113
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EPA REGION III
PHILOSOPHY OF SUPERVISION
Region III recognizes that its success in achieving superior
environmental results depends on its people-and our ability
to lead and manage in the best possible way. This requires
that all levels of management:
I. Provide and develop leadership that encourages people to do
the best.
II. Help people to develop their full potential.
III. Encourage and maintain open communication between
employees and management.
V. Recognize that we meet our goals most effectively by
considering the personal and professional needs of our
employees within our broader regional goals.
V. Recognize and reward innovation, new ideas,
full effort and success.
VI. Ensure equal opportunity for all employees and encourge
affirmative action.
VII. Delegate appropriate responsibility and authority to employees
VIII. Foster an environment of trust, commitment and respect for the
individual including his or her cultural values.
IX. Outline goals, monitor and evaluate progress, and provide
consistent feedback on results.
V.
X. Take responsibility for their own development and
training to implement this philosophy.
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REGION lll'S EXPECTATIONS OF FIRST LEVEL SUPERVISORS
(GM-13)
Six key effectiveness areas summarize the activities of first level
supervisors. The activities identified by the FAME program include:
Communication Skills
Interpersonal Sensitivity
Personnel Management
Supervision
Work Unit Guidance
Work Unit Monitoring
Several key expectations for first line supervisors in each of the
six areas emphasize the responsibilities in the human resources are
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Communi-
cation Skills
&
Frequently inform your employees (including clerical and
administrative) about issues and matters affecting them,
such as personnel policies and communications from
your supen/isor through staff, team and individual meetings.
Provide them opportunities for feedback.
Give your employees feedback (both positive and negative)
about their performance and conduct on a consistent basis..
Meet individually with your employees on a regular (at least
quarterly) basis. Corrective feedback should be done privately
to protect the dignity of the employee.
Maintain constructive two-way communication channels and
actively seek employee ideas and suggestions recognizing
there are different ways of getting the job done.
Develop methods to regularly exchange important information
with your boss, other senior managers and important contacts
outside EPA (including the state officials, the media and the public).
Be aware of yourself, your management style, and how you
impact others by both your actions and inactions, however minor.
Maintain a balance between concern for people and concern
for production, recognizing that effective production is the result
of concern for people.
Continue to sharpen your people skills. These skills are critical
to the goals and mission of your program.
Be aware of both your employees' and your non-verbal
communication and the information to be gained from it.
Follow up without prying.
Utilize good negotiation, coaching, counseling, and conflict
resolution skills in addressing the needs of your program and your
employees.
Focus on the problem, issue, or behavior, not the person.
Maintain the self-confidence and basic self-esteem of the employee.
Maintain constructive supen/isor-employee relationships.
Set an example for your employees by your own personal conduct
by treating everyone with fairness and respect.
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Personnel Act as a representative of the entire management staff, not just
Management our work unit, with your employees.
Take action against instances of offensive or hostile jokes,
language, slogans, posted material, unwanted physical contact, and
suggestive remarks. Failure to act can make you a party to the
offense.
Prevent or resolve disputes or grievances in a timely manner at the
lowest possible level.
Hire, promote, develop and evaluate your workforce including
developing PD's, drafting annual performance standards, preparing
appraisals and IDPs.
Assure an adequate workplace that is free of hazards and distractions.
Actively support the principles of EEO and the Agency's affirmative
action program policies.
Plan for changes and shifts in your workforce by maintaining a
source of new candidates and act quickly and effectively to fill
vacancies.
Maintain effective lines of communications with the Human
Resources Branch and union representatives when appropriate.
Supervision Reinforce the good performance of your workers by using all
appropriate forms of recognition.
Take action to address performance problems. Experience shows
that it will not get better on its own.
Set different employee goals and standards based on grade level
and job classification and reward accordingly.
Delegate and do not try to do everything yourself. Give
subordinates authority commensurate with delegated responsibilities.
Proactively coach and counsel employees on job performance
and conduct.
Actively promote teamwork and cooperation.
Clearly communicate standards of performance to the employees
you supervise.
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Assure that employees conform to applicable standards of
conduct, and respond promptly and tactfully to problem behavior.
Become familiar with the Employee Counseling and Assistance
Program and refer employees to appropriate sources to help.
If informal methods fail to correct problem behavior, or if in doubt
on a course of action, consult with the Human Resources Management
Branch to institute formal disciplinary action or clarify the next step.
Work Unit Effectively allocate the resources of the work unit to meet program
Guidance commitments.
Establish clear objectives and priorities for your workforce and
reevaluate them when activities change or are added.
Establish efficiency and quality standards and guidelines and
incorporate them into your subordinates' performance agreements.
Schedule work to maximize the efficient use of available resources.
Work Unit Monitor individual and group progress against the objectives
Monitoring and priorities set.
Establish a tracking system for the work projects of your
subordinates and use it as a tool to track progress against
program commitments.
D
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REGION lll'S EXPECTATIONS OF MIDDLE MANAGERS
(GM-14, GM-15)
The FAME program identifies seven key effectiveness areas
for mid-level managers:
Leadership
Flexibility
Coordination
Action
Orientation
Planning
Program Evaluation
Results Focus
The expectations listed under these key areas form a bridge
between the unit specific emphasis of the first line supervisors
and the broad multi-media responsibilities of senior executives.
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Leadership Work towards your objectives by leading with honesty, fairness
and integrity, rather than with an overt use of power and authority.
Set an example by work habits and personal accomplishments that,
will inspire others.
Lead by everyday example in applying EEO principles.
Make tough or unpopular decisions based on reason and be open
and communicative of the decision rationale to subordinates.
Engender a sense of excitement and enthusiasm in people by
example so that they give their highest levels of performance
and commitment to the mission.
Build an atmosphere that encourages new ideas, creativity and
innovation while recognizing the potential for learning from
failure and giving appropriate credit to the originator of the
ideas.
Not only do things right but do the right things by having a
high standard of personal values that set the tone for the unit's
work ethic.
Accept ownership of senior management decisions by personally
supporting them, even those with which you may not personally
agree.
Be ready to take a well-planned risk in order to progress.
Flexibility Handle unusual job pressure and stress in a calm and control
manner.
Accept changes in goals and directives as part of normal operation<
and manage in this context.
Adjust your management style and interpersonal behavior to fit
. different people and situations, considering various needs, values
and diverse cultural backgrounds.
. Maintain a general openness to new information, and a willingness
to change to more effectively get results.
Act positively in the face of setbacks (at least in public).
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Coordination Promote cooperation and teamwork in the group, through active
intervention and activities.
Maintain productive working relationships with other agencies,
levels of government, industry, the public, Congress and within
the various parts of the Agency.
Keep higher levels of management, your peers, and your subordinates
informed of information important to their jobs from their
perspective (put yourself in their shoes).
Ensure that your employees and sub-units effectively cooperate
with each other to maintain maximum productivity.
Evaluate the cross-media impacts of your actions and decisions.
Action Initiate action rather than waiting to react to situations in
Orientation both program and human resource areas.
Take calculated risks to give employees the opportunity for more
responsibility and decision-making.
Act decisively on your own authority in response to both internal
and external issues.
Accept personal responsibility for the success and failure of
your employees.
Give employees appropriate recognition and reward for positive
accomplishments.
Take responsibility for your decision's and those of higher
management.
Planning Focus on developing and adjusting longer term goals and objectives
especially in the areas of employee development
Set aside time and energy to examine the big picture, "envision
the future and factor each into your decision-making and planning."
Determine alternative courses of action in the context of
feasibility political, financial, technical and human resources
-act accordingly.
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Anticipate obstacles to the success of your program and your
employees and take appropriate action.
Focus on sound comprehensive planning rather than on the plan.
Focus on bottom line environmental results by having a
willingness to push changes rationally.
Program Develop a feedback system to evaluate the results of your planning
Evaluation and readjust when necessary.
Examine and reevaluate program goals regularly, modify if needed,
and communicate any modifications to your staff.
Seek new directions and identify ways to improve on-going
operations, procedures, processes and structures.
Use both informal evaluation techniques (e.g., MBWA, informal
employee discussions, rumors, etc.) and formal program evaluations
to analyze the health and well-being of your employees and your
work unit.
Results
Focus
Set goals, clearly communicate them and track progress toward
achievement.
Maintain a strong commitment to goal achievement integrating
prograim commitments and human resources.
Demonstrate an ability to follow through from program goals
through interim, and eventually final program achievements.
Be persistent in pursuit of high quality results in the face of
opposition, distractions, and setbacks.
Communicate the big picture and convey the idea that 7 want
something done!" to your work unit.
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REGION lll'S EXPECTATIONS OF EXECUTIVES (SES)
The FAME program identifies eight key effectiveness areas for
executives:
External Awareness
Interpretation
Representation
Budgeting
Material Resource Administration
Broad Perspective
Strategic View
Environmental Sensitivity
The expectations on the following pages have combined these
under five more general areas.
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Leadership
Set and demand a high standard of excellence.
Be a spokesperson and advocate for the needs, work products and
ideas of your staff and your organizational unit.
Be conscious of your role as both a leader and a role model.
Utilize staff recommendations based on thorough analysis,
consideration of both administrative and technical implications,
and the probable reaction of appropriate affected parties.
Tackle the tough problems and stay involved in the important
office decisions. Be personally involved in the challenging
positions and decisions and in determining policy.
Promote a sense of urgency and a commitment to solving problems
and securing accomplishments.
Recognize that employees do fail-innovation, growth and progress
are possible only in an environment where mistakes are possible.
Reward accomplishment by recognizing good performance and by
selecting new staff members on both potential and accomplishments
Create and maintain an atmosphere for success which includes
fairness, teamwork, innovation and concern for fellow employees.
Internal . Hold regular meetings with immediate subordinates to inform them ot
Management new policies, exchange information of inter-organizational importance
and learn of potential-problem issues.
Hold periodic meetings with all employees to give updates,
recognition and a look ahead.
Clearly delineate responsibility, line of authority and the need
for coordination.
Ensure Regional policies and procedures are consistently applied
across the organization.
Set and follow priorities for managerial, administrative and
program activities.
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Balance
Program
Goals and
Human
Resources
Evaluate the progress of the organization's managers and
supervisors in achieving human resources goals and program
commitments.
Evaluate staff and recommend areas for development highlighting
skills relating to both human resources and program needs.
Foresight Develop the ability to anticipate how proposed actions by EPA or
outside entities could impact one's own organization and the
success of achieving planned objectives.
Provide sound advice to the DRA and RA on matters impacting your
organization and on broad agency issues.
Use the "no surprise" policy: the RA should not learn from anyone
before you of any issue which is potentially controversial, embarrassing
to your organization, or would catch him or her unprepared
(i.e., the RA should hear bad news from you first!).
Making It All
Worthwhile
Protect your health - without that, the rest will prove of little
value in the long run.
Work at something you enjoy; if you don't have it - find it.
3?
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1.0 Injuries While At Work
Always notify your supervisor immediately.
For a severe illness or injury:
Call 9-911 and ask specifically for the Philadelphia
Fire Department Rescue Squad;
Call 9-925-8410, Building Management, to coordinate Fire
Department Rescue Squad;
Send someone to the main lobby to wait for the Fire
Department Rescue Squad; and,
Advise the guard at the desk that a rescue vehicle is
coming.
If illness or injury is not severe, go to:
Health Unit
William J. Green Federal Building
600 Arch Street
Room 4306, 4th Floor
Always notify the EPA Region III Facility Safety
Designee.
Philadelphia: Isiah Minson at 597-0755.
Field Office: Jim Marks at 266-9180.
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2.0 Security Practices and Procedures
Robberies Notify the Security Representative, Peg Leva in the
Administrative Management Branch on the 3rd floor,
at 7-3605 or 7-1180.
Security Representative will notify the Federal
Protective Seivice.
Victim must fill out a Theft Report and will be
interviewed by a Federal Protective Sen/ice Officer,
who will be accompanied by the Security Representative.
Follow-up interview may be necessary.
For questions or problems refer to the Security
Information Pamphlet available from Peg Leva or
contact her at 7-3605 or 7-1180.
If fire or smoke is detected, sound the fire alarm.
The fire warden (or alternate fire warden) on the floor
where the alarm is sounded should notify the Building
Manager at 9-925-8410 of the nature and location of fire.
When a fire alarm sounds, leave at once. Do not open any
doors that are hot or have smoke seeping in. Close all
doors behind you.
Proceed into the fire tower, descend one floor and remain
there until you are given instructions through the public
address system.
If trapped in your office, keep doors closed, seal off all
cracks, stay low (where air is better) and call the Fire
Department at 9-911 and give the address of the building,
the floor you are on and the office telephone number.
DO NOT USE ELEVATORS
Fires
(a cs^'))
octoSxocall
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Bomb Threats If you receive a call concerning a bomb threat, do not
attempt to transfer the call. Be calm, be courteous, listen
and do not interrupt the caller. Try to notify your
supervisor or Security Representative at 7-3605 or 7-1180
while the caller is still on the line.
Questions to ask about the bomb: When will it explode?
Where is it? What kind of bomb is it? What does it look
like? Why did you place it?
Try to determine the caller's sex, age, type of voice (loud,
high), type of accent (local, foreign), type of speech (fast,
lisp), type of language (excellent, foul), and manner (angry,
calm).
After the person calling In the threat has hung up, talk to
no one other than your supervisor or the Security Representa-
tive and call the following:
1. Administrative Management Branch at 7-1180
2. Philadelphia Police Department at 9-911
3. Building Management at 9-925-8410
If a suspicious package or bomb is found, do not touch it.
Notify those stated above and evacuate area.
Ask anyone unfamiliar or suspicious and not wearing a visitor
pass,'Can I help you?* Ask for proper identification.
Contact the Administrative Management Branch at 7-1180 or
7-3605.
Unauthorized
Personnel in
Workplace
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3.0 Time and Leave
Work Core Time: All employees must be present for duty on all
Schedules regularly scheduled work days during core hours unless on
approved leave or excused absence. Core hours for the EPA-
Region III are 9:00 a.m. to 3:00 p.m., Monday through Friday.
Compressed Arrival and Departure Times: Employees on this plan may
Schedule schedule their work day, with supervisory approval, according
to their own preference, as early as 6:30 a.m. but no later
than 9:00 a.m. and may work until 6:30 p.m. (unless working
authorized overtime, which may extend beyond 6:30 p.m.).
Daily Work Requirements: Employees wishing to enter into
a compressed work week schedule will propose a schedule in
advance for approval by their supervisor. When the supervisor
has approved the work schedule for an employee, that employee
will work 9 hours a day for eight days and 8 hours for one
prearranged day during a bi-weekly pay period. The lunch
period is in addition to the daily work requirement
Dav Off: Employees may choose their day off, subject to
supervisory approval, any time during the bi-weekly pay period.
This day must be scheduled in advance on a quarterly basis and
may be changed only in the case of extenuating circumstances
and with supervisory approval.
Holidays: When a holiday falls on one of the employee's
regularly scheduled workdays, the employee will be credited with
8 hours holiday leave for that day and will work eight 9-hour
days during the pay period. Should the holiday fall on the
employee's regularly scheduled day off helshe will be credited
with 8 hours holiday leave for that day and additionally, will
be permitted to take off the regularly scheduled work day
immediately preceding or following the holiday in accordance
with the following criteria: when an employee has three
consecutive non-work days off and a holiday falls on the
employee's first or second non-work day, the preceding work
day will be taken off. If the holiday falls on the employee's
third non-work day, the following work day will be taken off.
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As in the previous case, the employee will work eight 9-hour
days during the pay period in which the holiday occurs. If
two (2) holidays should fall within a pay period (e.g.,
Christmas and New Years), employee will not be permitted to
work a compressed work schedule but will revert to a standard
work week of 8-hour days. The Human Resources Branch will
provide instructions on how to handle this situation whenever
it occurs.
Annual. Sick. Compensatory and other Leave Davs: Employees
will be. charged leave in accordance with work hours scheduled
(e.g., 9-hour work day, 9 hours leave; 8-hour work day, 8 hours
leave). Hours worked andlor charged to leave, holidays, etc.,
must total 80 hours during the bi-weekly pay period.
Flexitime: Employees not on a compressed schedule are eligibh
for flexitime (i.e., the flexible schedule). Employees on this
schedule may periodically choose arrival and departure times
which vary from the "normal* 8:00 to 4:30 hours as long as three
conditions are met: (1) A full eight hour day (in addition to
the lunch period) is worked; (2) The employee is in attendance
dunng the core hours; and (3) The schedule does not include
work before 7:00 AM or after 6:00 PM.
Overtime: Overtime compensation, either monetary or
compensatory leave, must be approved in advance at the divisio
director level on form 2560-7. Overtime pay is one and one-half
time the employee's hourly rate of basic pay. A GS employee
whose rate of pay exceeds GS-10, Step 1 is limited to one and
one-half times that amount.
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Annual Leave Annual leave is an approved absence with pay from official
duties. While it is mainly used for vacation, it can also be
used to allow periods of time off for personal and emergency
purposes, such as a death in the employee's family, obtaining
a driver's permit, or similar personal business that needs to
be accomplished during duty hours. Annual leave is a benefit
and accrues automatically. However, supervisors have the
discretion to decide when and in what amount annual leave
may be taken. Leave may also be cancelled even after a request
is approved if the employee's services are needed for that time
and no other employee could reasonably handle those duties.
Leave cannot be denied for arbitrary or capricious reasons.
In EPA the minirrjum charge for annual leave is one hour, and
additional leave is charged in multiples of one hour.
Emergency Normally, all annual leave is requested and approved
Leave in advance. It is EPA policy that in unplanned or
emergency annual leave situations, an employee must
notify his/her supervisor before or within 2 hours
after the time the employee is scheduled to report
for work to explain the absence and request approval.
If a supervisor determines that the needs of the
work unit preclude a grant of leave, or if the
employee's reasons are not acceptable to the super-
visor, the supervisor may order the employee to
report for duty. If the employee fails to repon,
all or part of the absence may be charged to AWOL.
Restoration Give special attention to "use or lose" leave. Such leave must
of Leave be scheduled in writing before the beginning of the third pay
period prior to the end of the leave year to be considered for
restoration if it cannot be used. Generally, employees can
carry a maximum of 240 hours of annual leave into a new year.
Annual leave forfeited at the end of the leave year-through
administrative error, illness or injury, or an exigency of
public business-may be restored under certain conditions.
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Misuse of If an employee appears to be misusing the procedures for
Leave request and approval of annual leave, a supervisor may require
the employee to comply with special leave approval procedares
more stringent than those for other employees in the work
unit. For example, the employee may be required to notify
the supervisor personally or to document with evidence any
unscheduled emergency absences. A supervisor who places an
employee on special leave approval procedures must give the
employee advance written notice of the procedures and their
duration.
Sick Leave Sick leave is a period of approved absence with pay from
official duty. It may be authorized only:
0
When an employee personally is unfit for duty because
of sickness, injury, or incapacitation;
For personal medical, dental, or optical examination or
treatment including treatment or rehabilitation for alcohol
or drug abuse; and
When the appropriate public health authorities determine
that an immediate family member has a contagious disease
that requires the care and attendance of the employee, or
when, through exposure to a contagious disease, the employee's
presence at work could jeopardize the health of others.
In EPA, the minimum charge for sick leave is one hour; fr^c
and additional charges are in multiples of one hour.
caiio-d
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Approval ol Supervisors have the authority to grant or deny any sick
Absences leave. The only exception is in the case of a disabled
veteran who must be granted any leave (sick, annual, or
LWOP) needed for medical treatment or to take a physical
exam in connection with a disability or to have a prosthetic
device fitted. Supervisors are responsible for determining
the acceptability of evidence of incapacity for duty, and
may use any reasonable and necessary means to determine
whether sick leave should be granted.
If an employee is absent due to illness, the supervisor
should be notified no later than the second hour of the
employee '$ normal duty. If the supervisor is not notified,
the absence may be recorded as AWOL. Absences for medical,
dental, or optical exams or prearranged treatment should
be approved in advance. Disciplinary action may be taken if
the facts in requesting sick leave are misrepresented.
Requests for sick leave of more than three consecutive
workdays should be supported by a medical certificate or a
statement by the employee as to why a certificate was not
provided. An employee must also provide a statement from
a public health authority when a family member has a
contagious disease requiring isolation, quarantine, or
restricted movement.
Abuse of If you suspect an employee is abusing sick leave, review the
Sick Leave record in detail to see if there are valid grounds for suspicion.
Look for these patterns:
Taken as soon as earned, resulting in low sickleave balance.
Taken frequently before or after holidays.
Taken frequently on Mondays or Fridays (or before other normal
days off).
Taken during periods of heaviest workloads.
Taken when annual leave is refused.
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A supervisor may require a medical certificate for an absence
of three days or less and/or may require that an employee
inform the supervisor of his/her condition each day
..during an absence from work. Whenever these requirements
become necessary, a supervisor must give an employee advanced
written notice. The Human Resources Branch should be contacted
as soon as you suspect abuse of sick leave.
(A note of caution: There should be some persistent pattern.
Infrequent use of sick leave in one of these circumstances
would not be grounds for further action. Document dates and
amounts fully and precisely.)AsncingLeaveAnnual Leave
Advancing
*-eave Annual Leave
Employees may be advanced annual leave that will be earned
by the end of the current leave year. However, only leave
that would be earned prior to an anticipated date of separation
or retirement during the remainder of the current leave year
or during the term of a temporary appointment may be advanced.
Ail restored leave must be used before any annual leave may be
advanced.
Employees must request advanced annual leave in a memo, through
their immediate supervisor and Division Director to the Assistant
Regional Administrator for Policy and Management. The memo
should state the number of hours the employee is requesting,
the purpose of the leave, and when it will be used.
Advanced annual leave is charged against annual leave
subsequently earned. If an employee separates from Federal
service, any indebtedness for advanced annual leave must be
reimbursed. However, this does not apply in cases of disability
retirement, active military service with restoration rights, or death.
Sick Leave
For serious ailment or disability, employees may be advanced
sick leave, even if they have annual leave to their credit.
A full-time employee may be advanced up to 30 days. .Part-time
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employees may be advanced on a prorated basis. Temporary
employees may not be advanced sick leave in excess of what
they would earn during the remainder of their appointment.
Employees must request advanced sick leave in a memo, through
their immediate supen/isor and Division Director to the
Assistant Regional Administrator for Policy and Management.
The memo should state the number of hours the employee is
requesting, the reason for the leave and when it will be
used. Any request for advanced sick leave must be supported
by a medical certificate.
Advanced sick leave is charged against sick leave subsequently
earned. If an employee separates from Federal service, any
indebtedness for advanced sick leave must be reimbursed,
except for disability retirement, entrance into active military
service with restoration rights, or death.
Leave Without LWOP is an "approvedu temporary absence from duty in a
Pay (LWOP) non-pay status requested by an employee. Extended LWOP
is a period exceeding 30 days. Granting LWOP is always
a matter of administrative discretion and may not be
demanded by an employee, except in two situations. A
disabled veteran is entitled to LWOP, if necessary, for
medical treatment, and reservists and National Guard
members are entitled to LWOP, if necessary, to perform
military training duties.
LWOP for 30 days or less can be approved by the supervisor
right on a leave slip (SF-71, Application for Leave).
Extended LWOP procedures are more involved and require that the
absence and later return to duty be recorded in an employee's Official
Personnel Folder. For extended LWOP, an SF-52, Request forPer-
sonnet Action, signed by the Division Director/Office Head and
supporting documentation is sent to the Human Resources Manage-
ment Branch. The maximum initial period for which LWOP may be
approved is 12 months. Requests for extensions of LWOP are reviewed
morecarefully than original requests. LWOP exceeding 24 months must
be approved by the Administrator.
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I
Absence for Law and regulations governing Federal leave policies do not
Parenting contain a separate category for absences for maternity or .
Reasons paternity reasons. These absences are charged to sick leave,
annual leave, or LWOP.
EPA recognizes the interrelationship between personal life
and job performance and the fact that an employee's maternal
or paternai responsibilities are valid considerations in
weighing leave requests. Supervisors are expected to carefully
consider the needs and responsibilities of expectant parents,
the parents of newborns or adoptive parents, and to make'every
effort to accommodate these needs within the work requirements
of their units. Likewise, employees who anticipate using leave
for maternity or paternity reasons are expected to report their
intentions well in advance to enable supervisors to make workload
adjustments as needed.
Parenting absences are handled as follows:
Sick Leave - Any part of an absence for maternity reasons may
be charged to sick leave when supported by a statement from a
physician or other medical authority. Advanced sick leave may
also be granted if there is reasonable assurance that the
employee will return to work. Employees and supervisors should
be aware that any period of absence that is not medically
certified as due to incapacitation for duty may not be charged
to sick leave. It must be charged to annual leave or LWOP, if
requested by the employee and approved by the supervisor. Sick
leave may not be approved for paternity reasons.
Annual Leave - Any part of an employee's approved absence may
be charged to annual leave, including absence to care for the
newborn, the mother, or a newly adopted child.
Other Leave - Approved absences may also be charged to accrued
compensatory time or LWOP.
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Donating Leave may he donated to individuals whose requests have been
Leave approved by the Assistant Regional Administrator for Policy and
Management. Requests must be based on extraordinary need or
hardship. Notice of approved requests is given by memo from
the Assistant Regional Administrator to all Regional employees.
The memo will contain instructions for the mechanics of donating
leave.
absence AWOL is a period of absence without pay for which an employee
Vithout did not obtain advance approval or for which a request for leave
.eave (AWOL) is denied. AWOL is based on the supervisor's decision that no
form of leave (sick, annual, or LWOP) has been or should be
approved. While AWOL itself is not a disciplinary action, it
may be the basis for later disciplinary action.
Sourt Leave Court leave is approved absence with pay and without charge to
leave for jury duty (Federal, state, or local court) or for
sen/ice as a nonofficial witness in a matter in which the U.S.,
the District of Columbia, or a state or local government is a
party. Permanent and temporary employees, both full and part-
time, are entitled to court leave.
Approval Procedures for Jury Duty
When employees request court leave for jury service, they should
present a copy of their order or subpoena to their supervisor.
Upon return from jury service, they should submit to the super-
visor a certificate of attendance signed by a clerk of the court
or other appropriate official.
Supervisors are urged not to request that an employee be excused
from jury duty or be granted a deferment except in cases of
genuine emergency. If an employee's absence will severely hamper
operations, the Division Director or higher level official may
write directly to the court and request that the employee be
excused or that service be deferred.
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Period of Jury Service
An employee is granted court leave for jury duty for the entire
period of service, regardless cf the number of hours per day
or the days per week actually served on a jury during the
period. However, court leave is not granted during periods
when the employee is excused or discharged by the court.
Absence for Witness Service
The general rule to remem ber is that anytime the U.S., the
District of Columbia, or a state or local government is a
party, an employee summoned for witness service in a "non-
officiar capacity is entitled to court leave.
On the other hand, an employee is considered to be performing
official duty, and no court leave is involved, when he or she
is called to: (I) testify or produce official records on
behalf of the U.S. or the District of Columbia, or (2) testify
in his or heruofficial9 capacity on behalf of a party other
than the U.S. or the District of Columbia.
If witness service in a "nonofficia!" capacity is performed
on behalf of a private party and the U.S., D.C., or a state
or local government is not a party, the employee's absence
from duty is charged to annual leave or LWOP.
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Tlmecards Timecards are completed bi-weekly by each work unit's timekeeper
and they are to reflect the leave taken during the pay period so
the employee's leave balance is properly charged. Timecards also
credit the employee with any overtime worked. In the case of
overtime worked by the employee for another work unit, the time-
card must also be signed by the supervisor of that work unit in
the "Remarks* section on the card. In the "Remarks" section
should be written "Overtime Authorized" with a line drawn above
these two words where the supervisor would sign. The employees'
timekeeper and supervisor sign in the two certification blocks
in the lower right hand corner. Where the immediate supervisor
is not available to sign timecards, the next level supervisor
must sign. In any event, staff members who formally, by memo,
are designated as acting supervisors may also sign timecards.
The supervisor of one section may certify the timecards of
another section provided he/she believes the cards accurately
reflect time worked and leave taken. In the case of errors,
yellow-colored correction cards may be submitted to correct
mistakes made on previous pay period cards.
Supervisors should verify that the data on their employees
timecards was properly entered into the Payroll system. The
Comptroller's Office sends a verification report to each Division
Director after timekeeping data is entered into the Payroll
system. Copies of the reports should be distributed to all
timekeepers within the Division. Timekeepers should check the
data on each timecard against the data on the verification
report. Any changes to hours worked should be made on a
correction card.
Timesheets Timesheets are completed bi-weekly by employees who are charging
some or all of their time to an account number other than their
fixed account number. They are due at the Comptroller's Office
on the first Monday following the close of the pay period and
must be signed by the employee, the timekeeper and the
supervisor. The timekeeper should review each timesheet to
ensure that the Fixed Account Number is correct, and that the
hours charged to each account number are properly completed.
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Timesheets are used to charge those appropriations which benefit
from our services. If charges to a particular appropriation
result in a recovery of EPA costs, the timesheet is the source
document used to identify those charges in any Agency cost
recovery actions.
Supervisors are urged to submit their timesheets by the required
time. Late timesheets must be entered into a special Payroll
adjustment system that results in late payroll accounting data
and additional tracking and control of payroll charges.
Emergency Emergency Work Closings due to inclement weather are announced'
Work Closing on AM radio KYW (1060) or WCAU (1210) in the early morning
approximately 6:00 to 6:30. These announcements may be heard as
either "All federal offices being closed0 oruThe Federal
Executive Board has closed.' It is a good idea for the super-
visor to have a copy of each of his employees' home phone numbers
in case of emergencies. You should check with each employee
first before distributing copies of phone numbers as some employees
may not want their numbers made public.
what
L
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4.0 Filling a Position
Position
Management/
Position
Allocation
After confirming that you can fill a vacant position, you then
must decide what skill and grade level are needed to perform the
job most effectively. In making this decision, you may want to
consider the skill mix of the entire work unit and see where
tasks can be either combined or consolidated. The vacant
position should contain the skills which will optimize your
work unit's effectiveness and can be performed at the lowest
grade level.
The first step in filling a position /s to make sure you have a
position to fill. You do this by checking with both your
supervisor and the person responsible for tracking allocated
resources in your Division to ensure that you are able to either
backfill a vacancy or hire for a new position. For further
information on this issue, see the discussion on "Budget and
Workyear Allocations."
Position After deciding on the title and grade of the vacancy, you must
Description prepare a Position Description (PD). A PD describes in a narrative
format the duties to be performed, skills, knowledge, abilities, level of
supervision, and other factors involved with performing the job. Before
starting to write the PD, you should contact the Personnel Specialist
assigned to your Division in the Human Resources
Management Branch (HRMB) for guidance.
After the PD is written, HRMB will review it to determine if it reflects and
justifies both the title and grade you proposed for the position. If a
PD already exists,obtain the PD classification number from personnel
and simply note it on the 52. Often PDs are already on file in HRMB
for positions in your work unit.
^...whaV" voo tyuM 7 \
'vviartf ad $dund$ j0^
WSSV7J
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Promotions
There are basically three kinds of promotions. They are:
Career Ladder Promotions
Merit Promotions
Accretion of Duties Promotions
None of the three types of promotions are automatic.
z
k
Career Ladder Promotions: In these promotions the target grade /eve
is established at the time the PD is approved. This target level may bt
achieved by the incumbent employee in that position without
competition provided he/she has had at least one year's satisfactory
performance at each grade level and the job itself justifies promoting
the employee to each of the grade levels in the career ladder.
Putting in a year of time at one grade level does not necessarily
qualify an employee for the next grade level and the supervisor
needs to make a conscious decision if additional time, additional
experience, or improved performance is needed from the employee
before requesting that the employee be promoted. This decision
also needs to consider whether the complexity of the job also
justifies placement of a person at a specific grade level.
Merit Promotions: In Merit Promotions, the supervisor has the
opportunity to select the best person available. The grade level in the
job vacancy announcement will be approved by the HRMB prior to the
job posting.
Accretion of Duties: In Accretion of Duties promotions, the HRMB is
requested by the supervisor to review the incumbent employee's job
to determine if that job has developed, while the employee has been
in it, to the point where a non-competitive promotion of the employee
is justified. This type of promotion is the most rare and only takes
place after the HRMB has done an audit of the employee's job.
The audit may be done with either the supervisor or the employee.
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Paperwork/ Whether filling a vacancy or promoting an employee, the proper
Forms paperwork needs to be completed by the supervisor who has the
position. As a minimum for filling a vacancy, you will need to
prepare a Form 52 as well as a Position Description cover sheet
if one is not already on file in HRMB. If the position is
filled through advertising, you will also need to complete a
Staffing Requisition form as well as Quality Ranking Factors
for the vacancy announcement
Job Postings Preparation and posting of vacancy announcements is the
responsibility of the HRMB. The Personnel Specialist working
with you on the selection will collect and with the assistance
of either a rating panel or subject matter expert (less than 10
eligible applicants) rate the applications. The Staffing
Specialist will provide you with a Merit Promotion Certificate
of qualified applicants from which you will make your selection.
You should be careful to make a selection from the list within
the time specified on the certificate. Also, while you are
not required to conduct interviews to make a selection you are
encouraged to do so. After interviewing the "highly qualified"
applicants, you may interview "qualified" applicants. If you interview
one "qualified" applicant, you must interview all "qualified" applicants.
In preparing for the interviews, you should prepare a list of
questions which you plan to ask each of the applicants. You
should also make notes of the responses to your questions so you
have a record to study in making a selection as well as to use to
respond to questions regarding your selection. Four practical
hints in conducting an interview are to:
Build a friendly atmosphere;
Ask open-ended questions;
Sell the job if you think the applicant is right for the job.
End on a positive note with a specific follow-up action.
Interviews/
Selection
35
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Before offering a prospective employee a job, you must first get
clearance from the HRMB. You should also clear the selection
with your immediate supervisor.
You should not ask questions which have any relation to a
person's sex, color, race, creed, or national origin. Guidance
should also be obtained from the HRMB regarding discussing age c
handicapped ability.
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5.0 Employee Performance Standards and Appraisals
Performance There are many ways in which your job as a supervisor is like that
Standards of a coach. One of them is motivating your people to standards
of individual performance that together, ensure the success of
the group. Such motivation is possible only when you set clear
standards for your employees, and prioritize them, and then
monitor your employees' performance against these standards.
The Rules: As a general rule, all employees, regardless of type of
appointment, who will occupy a position for more than 120 days
must have drafted and received approval of Performance Agreements
within 30 days of appointment or other position change. In
cases where an official position change is less than 90 days,
Agreements (i.e., Standards) should be modified to include
temporary work assignments. Temporary promotions of 90 days or
more require Performance Agreements within 30 days.
Employees may not appeal their Critical Job Elements or
Performance Standards and are excluded from coverage under both
the Agency administrative and negotiated grievance systems for
these two items.
Set High Standards: Performance Agreements should be finalized with
each employee by November 30. Agreements requiring few or minor
changes can be rolled over from the previous year. In any case, they
should be used to communicate known changes in priorities,
assignments or other work expectations for the coming year. EPA's
ambitious environmental agenda demands the best from its employees
and this goal should carry into performance standards by:
(1) Making "OUTSTANDING" indicative of truly noteworthy
achievements not the norm.
(2) Differentiating between rating levels to allow the
employee to clearly understand expectations at various levels.
(3) Using the standards as a communication tool to discuss
your expectations with employee.
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Changes in Performance Standards:
Did you know that the performance agreements are not cast in
concrete? Changes in performance standards (weights, objectives,
measures) can be made throughout the year. If the change is lengthy
it is attached to the original; if not, it is simply recorded on the
document In changing performance standards remember to:
(1) Bring Performance Agreements up-to-date during mid-year review.
(2) Clarify performance without delay with the employee even if
written changes in the standards don't occur until later.
(3) Give employees should get a reasonable period of time to
perform new or substantially changed requirements before
appraisal.
Setting Job Standards:
The four Key Action steps in setting job standards are:
(1) Explain the tasks of each job and how they relate to overall group
performance.
(2) Establish job standards.
(3) Set job priorities.
(4) Set a date early in the year for progress review.
Performance A key consideration in maintaining an effective labor force is
Appraisals the determination of the degree to which performance is effective
or ineffective. This function can involve a number of specific
purposes including:
(1) Feedback for employees about how a manager and
organization view their overall performance.
(2) Promotion and within-grade increase decisions.
(3) Criteria for allocating awards.
(4) Ascertaining training and development needs.
The Rules: The official performance appraisal occurs at least
annually for any employee with an appointment of 120 days or more.
The employee must have an adequate (at least 90 days) opportunity
to perform under the established Performance Agreement. For
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employees on detail, the supervisor of record completes the
evaluation incorporating an assessment of the performance
accomplishments during the detail. Appraisals must normally
be completed by November 30.
luanoo
The performance appraisal is a dual assessment process. The
employee's personal assessment of his or her performance is
considered. The tentative appraisal figure set by the first line
supervisor must first be approved by the second line supervisor
prior to notifying the employee. The appraisal interview with
the. employee could alter the tentative rating if new relevant
information is presented. The supervisor and the employee sign
and date the Performance Agreement to signify that the appraisal
interview has occurred. A rating of Minimally Satisfactory
or less on any critical job element requires an explicit action
plan for raising the level of performance within 15 working days
of the signed appraisal. An Unsatisfactory rating in any
critical job element may be grounds for removal or change to a
lower grade. Contact the Human Resources Management
Branch in any case where a rating or critical job element is less
than satisfactory.
Use the system to vour advantage: Appraising an employee's
performance requires a real commitment on the part of the supervisor.
It's an invaluable management tool when used correctly, but it can
lead to confusion and dissatisfaction when used incorrectly.
The process should be used to:
(1) Recognize past performance and to improve future performance.
(2) Support a fair and equitable compensation system.
(3) Provide frank and constructive feedback to the employee.
Frequent face-to-face communication between the supervisor and
the employee is a vital element of supervision, and almost always
occurs in some fashion during the daily work routine.
Performance tracking, however, demands a more structured approach
to periodic progress reviews which focus on the employee's
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Performance Agreement, action plans and other factors affecting
performance rather than on daily task assignments and recent
crisis situations. For this reason, employee progress reviews
should be incorporated into other organizational program review
processes. Although quarterly progress reviews are generally the
most beneficial and timely, supen/isors not capable of conducting
quarterly reviews should conduct mid-year progress reviews with
each of their employees in order to note performance highlights
to date, to determine the need for adjusting action plans andlor
the Performance Agreement itself, and to develop a plan of action
for improving performance levels, where appropriate.
Appraisal Interviews: The Appraisal Interview (where the rating is give
to the employee) can be used to constructively provide feedback an
employees' suggestions. Key actions to use in conducting the
interview include:
(1) Seek the employee's opinion of his or her overall performance
since the last appraisal and ask for specifics.
(2) Give recognition for accomplishment since the last appraisal.
(3) Specify one or two areas for improvement, ask for confirmation
and suggestions.
(4) Summarize overall performance to put things in perspective.
(5) End on an encouraging note.
References:
"Performance Management System Plan for Non-SES Non-Merit Pay
Employees" (revised September 18, 1981) - Office of
Administration.
Units 3 and 13 of Zenger-Miller's nSupervision
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6.0 Travel
Travel Authorization (TA) must be signed by both the-
Recommending Officer (immediate supervisor) and the Authorizing
Officer (Branch Chief or higher) prior to the trip start date.
Requests for higher lodging costs must be signed by the Division
Director.
The TA package is sent to the Office of Comptroller (OC). It
is assigned a document control number (DCN), copies are pulled
and the remaining copies are returned to the originating
office. Use the yellow copy to request a travel advance
(see Short Notice Travel).
Special Cases If details of trip substantially change before departure,
send an amended TA along with a copy of the original TA
with DCN to the OC.
Review all copies of the TA for legibility and accuracy of
critical data. These include traveler's name, mail code,
destination (city and county), social security number, account
number, period of travel, per diem rate, purpose code, and
activities authorized. Preparer's name and telephone number
should be typed on the TA
If trip is cancelled, the TA must be returned to the OC and the
word "CANCELLED" must be clearly written across the TA. This
will ensure that the travel obligation is cancelled and the
travel funds are available for reuse.
After completion of trip, if there is no per diem claimed (see
Claims for Reimbursement), the TA must be returned to the OC and
the word "IMPREST" must be clearly identified on the TA.
Routine
(EPA Form
610-1)
UUJ
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All site specific Superfund travel must clearly identify the
site by name in the itinerary section of the TA
Registration fees for conferences and meetings are generally
considered training and must be submitted for approval to the
Human Resources Management Branch on Training Request Form 1c
Travel Must be submitted within one week after completion of trip.
Vouchers
(SF-1012) . Must be signed by the traveler and an approving official.
Must contain accurate and legible information.
Must include departure and arrival times.
Used ticket coupons (train/airline) must be returned with
the voucher.
All claimed expenses that exceed $25 must be supported by an
original receipt. Gas receipts are required for all amounts.
Reimbursement for personal phone calls while on official travel
assignments are allowed on a limited basis if on travel status
for more than 2 nights.
Travel reimbursement checks will be sent to the traveler's home
address.
A copy of the traveler's timesheet (partial or completed)
must be attached to the voucher for travel involving a
Superfund site.
Claims for The SF-1164 form is used for short trips (claiming no per diem)
Reimburse- and includes mileage, parking, tolls and official business tele-
ment ( phone calls. For training courses and registration fees for
(SF-114) conferences and meetings (if vendor will not accept a
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training request form for billing purposes), attach a copy of
the approved Training Request Form 182 (5 Part) and the original
receipt to the SF-1164.
information required: name of claimant, social security number,
accurate dates, mileage (if applicable), locations itemized
and reason for submitting claim, purpose code, account number,
and the dollar amounts charged to the various object classes.
Timesheet must be attached if travel involves a Superfund site.
Claim must be submitted within one week of the completion of
trip or expenditure.
After review and approval, claimant may obtain reimbursement
from the Imprest Fund.
Miscellaneous Travel Within a 50 Mile Radius of Official Duty Station:
Lodging and per diem will generally not be paid when the
destination is within a 50 mile radius of the employee's official
duty station. See travel update #3 for exceptions.
Travel Planned Travel: Send SF-1038, Advance of Funds, along with the TA
Advance to the Comptroller at least 21 days before the trip start date.
A check will be mailed to the traveler's residence.
Short Notice Travel: Send original and one copy of SF-1038 with proper
accounting data and the yellow copy of TA with all approvals to OC at
least 10 days before the trip start date. This advance will be received
from the Imprest Fund up to $150.
Liquidating Advances: Vouchers must be submitted immediately after
completion of trip and money owed to EPA must be paid at that time.
Nonpayment and non-receipt of the voucher results in a notice
of delinquency.
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Nonpayment 30 days after the notice of delinquency will result in
an interest penalty being added to the amount owed.
Ticketing Air. Train. Hotel and Rental Car Reservation Procedures
Call authorized travel agency for air, train, hotel and rental
car reservations. Travelers will be responsible for any
increased costs due to not using these authorized travel
agencies.
Provide the following information to the agent:
- Traveler's name
- Name of Agency (U.S. EPA) '
¦ Date and approximate time of departure and return
- Destination
- Account Number (10 digits)
¦ Travel Authorization Number (6 digits)
Purpose Code
Traveler's The traveler's itinerary provided by the travel agency will
Itinerary include:
- Car confirmation number
- Hotel name and confirmation number
Special remarks, rate and address
- Airline or train information
- Accounting information
- "800" telephone number for enroute changes
Cfterry Hill Cherry Hill Travel telephone number and the hours of operation
Travel are as follows:
Reservations (215) 735-2152
8:00 a.m. - 5:00 p.m. Monday thru Friday
- Enroute outside of New Jersey (800) 257-5396
8:30 a.m. 6:00 p.m. Monday thru Friday
- Enroute changes after hours and holidays (800) 225-2690
24 hours per day when Cherry Hill Travel is closed
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Seating and
Reservations
Advance Seating on Flights: Advance seating can be requested no
more than 30 days prior to the flight.
Air and Train Reservation: Tickets will be delivered at least two days
prior to departure unless the fare requires earlier ticketing.
Emergency deliveries of tickets can usually be made two to four hours
from the time the reservation is placed.
Cancellation of Travel Reservations: - Contact the travel agency that
made the reservations and they will process the cancellation.
Make note of the date, time and travel agency representative
who processed the cancellation. Also, note any cancellation
numbers in the file.
It is the traveler's responsibility to ensure that the travel reservations
were cancelled. Travelers will be responsible for any late charges,
penalties, etc. resulting from failure to cancel reservations.
Unused or Obtain Request for Transportation Credit form from the OC.
Partially Used Complete form and return with the tickets to the Financial
Tickets Management Section.
Tickets and forms will be processed and credited to the
traveler's Diners Club account.
Resources Management Directives System - Travel Manual
Travel update #3, January 5, 1987
Travel update #9, March 18, 1988
Human Resources Management Branch Payment of Registration
Fees for Conferences and Meetings, August 8, 1988
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7.0 Rotational Assignments, Details, Transfers, IPA's
Considerations:* Expansion of an individual's knowledge/expertise
in another program area.
Mutual benefit of improving communications/relationships
between two operations/offices.
Facilitate a better understanding of another program.
Provide needed expertise to the other operation.
Stimulate an employee.
Test an individual's supervisory or technical potential.
Place an employee in a position more suited to his or her abilities.
Enhance an employee's coordination/communication skills.
Personality conflicts.
Items which must be evaluated prior to taking one of these
actions:
Will there be a mutual benefit to all involved?
Are poor work habits being addressed in the current
work area, not simply passed on (they normally will
not othenvise get better)?
When in doubt, utilize a short detail and evaluate closely.
Prior to discussion of proposed action with the employee,
one should:
Explore the needs and desires of the individual during
either the completion of their individual development
plan or their performance evaluation.
Always explore the possibilities for mutual benefit
with the first/second line supen/isor of the "Gaining"
or "Losing" office.
Remember: All discussions should be totally honest as to the
need and anticipated results.
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beaae wiin xne otner supervisor In advance which
organization is paying for the detail.
Two SF 52's are required for a detail (one to begin
and one to end). These should be completed by the
"Gaining" office.
For IPA's (i.e., details to a state or local government),
consult the IPA Handbook available from Human Resources
Management Branch.
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8.0 Training and individual Development Plans
It is EPA's policy to provide for the training, development, and
necessary career planning which employees require for the
accomplishment of EPA's mission.
Individual An IDP is a list and schedule of the career development activities
Development of an employee. IDPs should be used as tools by managers to enhance
Plans (IDP) discussions with employees about their anticipated career progress in
the Agency. The discussion should concentrate on training needs
in the employee's current job to improve performance, to learn
new skills, and relearn or extend job knowledges. IDPs are
not firm commitments for specific courses. Specific course
approvals and commitments are made by submitting and
having approved an SF 182-Request, Authorization, Agreement
and Certification of Training form. The final step in preparing
an IDP is an employee-supervisor discussion of career development
objectives over the next two to three years. If you have any further
questions, contact Cheryl Talbot in the Human Resources Management
Branch.
The Process
(1) Supervisor completes a first draft of the IDP form (which
can be obtained from the Human Resources Management Branch.
In completing the IDP, consider the following:
Areas where the employee needs to improve or
learn more for the present job.
The best method for accomplishing the training
i.e., courses, assignments, details, etc.
Career Development needs of the employee. You
may want to consider a target position that the
employee will achieve within three years.
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2) Give the employee a copy of the completed form. Ask the ,
employee to review it and be prepared to discuss the recom-
mendation during the Performance Appraisal meeting.
3) During your performance meeting with the employee, discuss
his/her career development needs, finalize the plan, both you
and the employee date and sign the IDP and forward it to the
Human Resources Management Branch by June 30.
Training EPA employees teach many courses. Employees are nominated for
Courses these courses by completing the nomination form attached to each
announcement To obtain training from a vendor, submit to the
Human Resources Management Branch an SF182 Request,
Authorization, Agreement and Certification of Training
All training requests must be approved bv the Human
Resources Management Branch and Financial Management
Section prior to the start of the course. A training form is a
purchase order for a service offered by the training facility. It is
like any other contract; it is invalid if it is not properly executed
before the goods or sen/ices are delivered. Consequently,
unauthorized training requests cannot be ratified in the Region and
the employee may be liable for payment of all training expenses.
Training Desk Guide
The Self Study Program
Employee Development and Training Catalog
Building Excellence Through Secretarial Training
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9.0 Employee Recognition and Awards
Types of-Recognition: There are two types of recognition awards:
formal and informal. Formal awards are honor and monetary awards.
Informal awards are non-monetary
Honor Awards These reward performance ranging from commendable to
(Gold,Silver,
and Bronze
Medals)
exceptional service and are recognized by a medal, lapel pin
and certificate. There are also several other honor awards which
have more specific requirements:
Administrator's Award for Excellence; Trudy A. Speciner Award;
Distinguished Career Award; Secretarial Excellence Award;
Human Resources Manager of the Year Award; and the
Glen Witmer Award.
Monetary
Awards
Quality Step Increase fQSIVThis is given for outstanding
performance which has been sustained and is expected to
continue. A QSI provides an additional within-grade increase
in the basic pay. The QSI recommendation is documented
by a performance appraisal with a score of 450 or higher. A QSI
can only be given once in any 52 week period. An employee who
receives a QSI does not begin a new waiting period to meet the time
requirements for a regular within-grade increase (one year at
steps. 1, 2, and 3; two years at step 4, 5 and 6; three years at steps
7, 8, 9 and 10). Note, that if the QSI places an employee into the
fourth or seventh step, that employee's waiting period would be
extended by 52 weeks. For example, an employee at step 3 due
for step 4 in April 1990 and receiving a QSI in February 1990 would
be eligible for a step 5 within-grade increase in April 1991.
Sustained Superior Performance fSSPV : A SSP is a lump sum
cash award which recognizes continued high quality
performance which substantially exceeds performance
standards. The SSP nomination is also documented by a
performance appraisal although an outstanding
rating is not required.
Special Act or Service fSA): This is a lump sum cash award
given to recognize a significant one-time achievement in an
area outside an employee's usual duties.
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Performance Management and Recognition System fPMRSl: See
Section 22.
Suggestion Award. Given for a constructive idea that: saves
materials, money, manpower, or property; conserves energy; reduce
paperwork; or improves service to the public.
Non-Monetary Although there is no financial remuneration, here are some
Recognition actions which can reinforce employee behavior letter of
commendation; asking advice or opinions on a policy or how
a task should be done; verbal praise; a smile; a handshake;
praise in an in-house newsletter; increased responsibility;
choice of work assignments; any other event which would
single out the employee as being special.
Career-Service These are Length of Service Awards based on total years of
Awards federal service for 10, 20, 30, and 40 years. A plaque, certificate
and lapel pin are also awarded for 30 and 40 years of service.
Retirement certificates are awarded at the time of the employee's
retirement
Monthly
Awards The Monthly Award is a special regional award (Special Act)
designed to give quick feedback and recognition for special
work activity done by an employee over a short, concentrated
span of time. The maximum award is $100 and documentation
required usually consists of one paragraph in the format of a
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10.0 Hazardous Duty Pay
It is the policy of EPA that employees are adequately safeguarded
against potential hazards in the performance of duties wherever
practicable. Where unusual physical hardship or hazardous
conditions are identified and the performance of duty in the
hazardous conditions is necessary, the employee is entitled to
request and receive hazardous duty pay. Hazardous duty pay itself
consists of an incremental pay differential (usually 25%) calculated for
the full work day at the employee's base pay rate regardless of the
period of exposure. For additional information see:
EPA Personnel Management Handbook - Memoranda No. 550-4
and 550-5
EPA Pay Administration Manual, Chapter 9
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11.0 Communication: Staff Meetings
Staff Meetings Opportunities for vour Staff:
Holding regularly scheduled staff meetings is important for
communicating information, both technical and administrative
in nature, to your staff. Having these meetings gives your staff
an opportunity to:
(1) Raise issues which may be hampering the effectiveness of the
work unit.
(2) Offer constructive suggestions and creative solutions to
resolve workload bottlenecks.
(3) Inform their supervisor and fellow employees of news or
events which may be of general interest.
(4) Gain experience in meetings without the pressure and
stress of dealing with people from outside their work units.
Ooportunites for You:
Having staff meetings gives you an opportunity to:
(1) Inform your staff of the latest events, policies, or procedures
which may impact their work.
(2) Provide uniform instructions on how you want a specific task
performed.
(3) Solicit your staff's opinions on changes needed to improve
performance or resolve problems.
(4) Build teamwork by creating an atmosphere where your workgroup
can jointly develop and implement initiatives or solutions
to problems.
Some suggestions on having successful staff meetings are:
(1) Attempt to have staff meetings at regular intervals, preferably
the same time and day, so your staff can plan on when they may
be able to raise issues of interest to the work unit.
(2) Between meetings keep a folder with notes on issues that you
want to bring up at subsequent meetings. Having a list of
items will make the meetings run efficiently.
(3) Invite all staff, including clerical personnel, to your meetings.
If you anticipate extensive technical or programmatic discussions
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Its net-
^OO'T |
wcr\c. ' x J 1
to take place, then you may want to first cover any administrative
items which are of a general concern and then excuse your
clerical personnel, if they wish. Of course, if your clerical
staff wish to listen in on the technical discussions, they should
be encouraged to do so since this can give them a better
understanding of the unit's work and how it enables the Agency
to meet its objectives.
(4) Appoint a recordkeeper or tape the meeting so those who were
not able to attend can find out what happened at the meeting.
Having a record of the meeting will also be helpful in following up
on action items.
(5) Allow time at the meeting to go around the room and provide
an opportunity for each person to raise any issues that they may
have.
It is recommended that at a Section level, staff meetings be held,
at a minimum, monthly while Branch or Divisional staff meetings are
more routinely held once a week.
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12.0 Equipment, Furniture, Supplies, and Property
Audio/Visual Equipment for Meetings. Presentations. Briefings:
Call the Supply Room at 7-9865 at least 3 days in advance
for use of all audio/visual equipment except for a TV or VCR.
For TV or VCR see or phone the representative in the
Office of Public Affairs at 7-9825.
Furniture/Office Equipment
/
For furniture or office equipment, supervisor should send a
memo stating what is needed, when it is needed and for whom
it is needed, to the Chief, Administrative Management
Branch (3PM20).
« Ail property is bar coded and tracked by the Personal
Property Accountability System and by custodial area location.
No property or furniture should be moved without notifying your
custodial officer or the Property Accountability Officer in the
Administrative Management Branch at 7-3605.
Supplies
For supplies, submit a Storeroom Request and Issue Record
Form to the Supply Room (forms available at Supply Room).
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13.0 Procurement
Small/Large Small Purchases: Small purchases are purchases of $25,000 or less
Purchases and may be handled by the Region III Procurement
staff.
Small purchases over $1,000 must be competed for pricing
purposes by at least three different vendorslsources.
It speeds processing to include 3 sources with the PR.
Always choose small businesses over large businesses on
all purchases.
For questions or problems consult the Small Purchase
Acquisitions Guide for Program Offices or phone the
Administrative Management Branch at 7-6156.
Laroe Purchases: Large purchases are purchases greater
than $25,000, require 30-day notice in the Commerce and Business
Daily, and must be handled by EPA Headquarters. Any questions,
phone 7-6156.
Imprest
Should be used for ail purchases of $50 or less.
Call 7-6156 for Imprest Number in advance of any
purchase.
Purchase goods or sen/ices with personal funds and retain receipt.
Submit Purchase Request with receipt and supen/isor's
signature to Barbara L. Latsios (Administrative Management
Branch) who will then forward it to Rose Young (Comptroller's
Office).
To be reimbursed, bring approved PR (along with receipt)
to the Imprest Cashier in the Comptroller's Office, between
2:00 p.m. and 2:30 p.m. daily.
Prompt
Payment Act
All government agencies must pay vendor/contractor within
30 days of receipt of invoice for goods and services rendered.
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14.0 Conflict of Interest
Purpose To avoid the appearance to the public that official decisions are
motivated by self-interest or favoritism.
Avoid any action, which might result in, or create the appearance of:
using public office for private gain;
giving preferential treatment to any organization or person;
impeding government efficiency or economy;
losing independence or impartiality of action;
making a Government decision outside official channels; or
affecting adversely public confidence in the integrity of.
the Government.
Applicable Gifts. Gratuities, and Entertainment: Employees may not
Activities directly or indirectly, accept gifts from anyone who:
is financially affected by EPA;
has or is seeking to obtain an EPA contract or grant; or
conducts operations or activities which EPA regulates.
Exceptions: Employees mav accept ~ Food or Refreshment if: it is
of nominal value there is no arrangement for separate billing; and
received at meeting, inspection tour or gatherings sponsored by
industrial, technical, or professional organizations (if representing
EPA).
Remember: No "business lunches." You must pick up your own check.
Employees may also accept transportation "in kind" from a private
organization if it is incidental in nature; and in connection with
official duties.
Example: Employees on inspection tours may accept rides
from the airport to the plant, if the firm customarily provides service.
Remember Travel in corporate aircraft creates appearance problems,
and should not be accepted.
Travel Expenses are permissible only under several very
narrow statutory exceptions.
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Promotional material may be accepted only if:
of promotional nature (e.g., pens, calendars, etc.); and
of nominal value (under $10 U.S. retail).
Rules for Gifts: When an Employee is ofTered a gift the following
rules apply:
(1) An employee must decline to accept prohibited gifts.
(2) If circumstances require acceptance of the gift(s), the
following should take place:
Immediately advise Supen/isor in writing.
Attempt to return to donor, if possible.
Donate to a public or charitable organization if it
cannot be returned to donor and notify donor of
disposition.
Honoraria General Rules: Employees may not accept payment for official
appearances (18 U.S.C. Section 209).
If employee's appearance is clearly in the nature of private
outside activity, the employee may accept up to $200 for
any one appearance (2 U.S.C. Section 44li).
Teaching. Speaking. Writing, and Editing:
Employees may not:
instruct people on dealing with specific matters pending in EPA;
pursue such activities in connection with trips at
government expense;
approve or disapprove of advertising;
express or imply official EPA support or approval of
the work or opinions expressed; or
accept outside compensation for any work performed as
a part of government duties.
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Writings by an EPA employee related to his/her official
duties must contain a disclaimer which provides:
author's name
title
date written/edited
that "No official support or endorsement of this document
by the EPA is intended or should be inferred."
References:
18 U.S.C. Sections 202-209, Conflict-of-interest Statutes.
5 U.S.C. Appendix I, Ethics in Government Act of 1978., .
40 C.F.R. Part 3, EPA Regulations on Employee Responsibility
and Conduct
40 C.F.R. Section 3.504, Travel Expenses.
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15.0 Equal Employment Opportunity (EEO)/Affirmative Action
The Equal Employment Opportunity Program provides advice and
assistance in the implementation and administration of the
Region's civil rights program and ensures that an equal opportunity
is afforded to all employees. In cooperation with the Director of
Civil Rights and the Regional Administrator, this office is committed
to enforcement of all Civil Rights Laws bearing on the Agency's
external operations, as well as furthering the goals of equal
opportunity for all employees and for all prospective employees.
Only through management accountability, special emphasis, and
personal commitment can we have a strong and viable EEO program.
EEO/Affirmative Action activities are mandated by a series of statutes,
laws, regulations, and Executive Orders.
THE PRIMARY LAW IS TITLE VII OF THE 1964 CIVIL RIGHTS ACT
THAT BANS DISCRIMINATORY EMPLOYMENT PRACTICES BASED
ON RACE, SEX, COLOR, RELIGION OR NATIONAL ORIGIN.
Amendments to the law have been added to include HANDICAP
AND AGE. Additionally, Presidential initiatives have been issued
resulting in major Executive Orders (EO) that give investigatory
powers to the Equal Employment Opportunity Commission
(EEOC). The EEOC acts as a ,lwatchdog" for federal agencies'
compliance with EEO laws and affirmative action mandates.
Affirmative Action EEO IS THE OBJECTIVE
AFFIRMATIVE ACTION IS THE TOOL TO
ACHIEVE THE OBJECTIVE
Executive Order 11478 and Public Law 92-261, directs that a
continuing Affirmative Action Program of equal opportunity be
established and maintained as an integral part of Personnel
Management Policy and in employment, development, advance-
ment and treatment of its employees.
The "Affirmative Action" tool is a "positive plan of action." It
means to take a set of result-oriented procedures with commitment
and make it work to remedy, or correct past effects of
discrimination, and eliminate present discriminatory employment
practices.
Hiring and advancing qualified minorities and women is an integral
Purpose
and Legal
Basis
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part of the process. In short, it embraces giving preference to
women and minorities, assuming all candidates are qualified!
Affirmative action principles are applicable when underrepresentation
of women and minority group members has been identified
in the workforce.
EEOC provides leadership, guidance and direction in prescribing the
methodology to be used by Federal agencies in determining under-
representation. Suggestions and strategies to overcome the
deficiency are also provided by EEOC.
WHO ARE THE TARGETED OR PROTECTED GROUPS?
Blacks
Hispanics
American Indians
Asian/Pacific Islanders
Women of all ethnic groups
Manager's Keep all employees informed about equal opportunity
EEO implications such as upward mobility efforts, training
Responsi- opportunities, vacancy announcements, detail opportunities,
biiities EEO Plans, etc.
During selection interviews, evaluate applicants objectively.
Identify employees with skills and abilities which are
not being utilized in their job.
Encourage employees with potential to compete for advancement.
Make sure that all the members of your workforce know
and understand the rules affecting employee conduct.
Conduct a review of your organization's policies and
procedures to be sure that they are free from any
discriminatory intent or that they do not result in
discriminatory practices, intentional or unintentional.
Set a positive example in your organization.
Review your management practices to make sure that
practices do not discriminate against or offend minorities
and women.
Know the merit selection procedures, principles and prohibited
personnel practices.
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16.0 Special Employment Programs
Cooperative The Agencywide Cooperative Education program which provides
Education a means of strengthening the scientific, professional, adminis-
Program trative, and technical staff of the EPA by providing study related
experience to potential entry-level candidates before graduation.
Baccalaureate Students
-must attend school on a substantially full-time basis
-are enrolled in cooperative education curriculum
-must meet citizenship requirements
-must maintain 2.0 overall average on a 4.0 scale
are appointed at grades 2 through 5
-are appointed not to exceed 120 days after expected graduation
-may work up to 2600 hours over 24 months
-may work full or part-time schedule
-are eligible for conversion to career-conditional position
during the 120 day period following graduation
-count against FTE employment ceiling
Graduate Students
complete requirements for Master's or Doctor's Degree in a
directly related subject area which qualifies for a GS-9 or GS-11
must meet citizenship requirements
are appointed at GS-5 or GS-7 for Master's Degree candidates
and GS-9 for Doctoral candidates
have work experience to either meet degree requirements or will be
credited toward degree
are appointed up to 30 months for Master's and 42 months for Ph.D
Degree candidates
work up to 1300 hours during a 12 month period
work full or part-time schedule
are eligible for conversion to career-conditional upon completing
requirements for advanced degree and have worked at least 16
weeks or 640 hours in career-related work-study
count against FTE employment ceiling
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Handicapped Policy: EPA is committed to an affirmative action program to eliminate
Program under-representation of qualified handicapped individuals in all
categories of EPA employment as evidenced by persons with
disabilities being employed in a broad range of grade levels and
occupational series commensurate with their qualifications
Additionally, EPA will not exclude or limit qualified persons with
disabilities because of job structure cr design or because of
architectural, transportation, communication, procedural, or
attitudinal barriers.
Qualified Handicapped Individual: A handicapped person who, with
reasonable accommodation, if necessary, can perform the essential
functions of a position in question, without endangering the health and
safety of the individual or others, and who:
(1) meets the experience andlor education requirements of
passing a written test, or
(2) meets the criteria for appointment under a special
appointing authority for handicapped persons.
Targeted Disabilities: Special emphasis in Federal Affirmative Action
programs is given for the following qualified handicaps:
-deafness -convulsive disorders
blindness - -mental retardation
-missing extremities -mental illness
-partial paralysis -distortion of limbs andlor spine
-complete paralysis
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SPeclai Temporary Trial Appointments:
Appointing -700 hours
Authorities -demonstrate ability to perform
Excepted Appointments:
used after completion of 700 hours appointment
-after 2 years of successful performance, may be
noncompetilively converted to a career-conditional
appointment
Upwgrfl Motility Program:
The Upward Mobility Program provides increased opportunities for
Agency employees to move into professional, administrative, and
technical positions with more career growth or potential.
Upward mobility is based on competitive selection and will include
a training plan that prepares the selectee for the target grade in a
new career. The training plan consists of developmental work
assignments and formal training, both on the job and after work hours.
Limited to EPA employees serving career or career-conditional
appointments or Schedule A appointing authority for the ohvsicafiv
handicapped.
Evaluating Candidates:
The following factors are considered when evaluating candidates:
-Abilities identified by the job analysis
and assessed by the appropriate supen/isor
¦Appraisal of other characteristics
Interview assessment
-Training
Annual performance appraisal
Awards
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An interview panel of 3-5 individuals (1 from the Human Resources
Management Branch, 1 from the EEO Office, 1 from the Union, and
2 from the Program Office) evaluates candidates.
Selected candidate receives minimum of 3 months and
a maximum of 2 years specialized training.
The selecting official with assistance from the Human
Resources Management Branch develops the plan.
References:
EPA Cooperative Education Program, PMM308-3;
dated June 13, 1986
' Affirmative Action for Handicapped Individuals, PMM306-1;
dated October 1, 1986.
Upward Mobility Program, PMM713-8; dated December 10, 1984.
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17.0 Recordkeeping
A determination concerning the disposition of records should be made
in accordance with the requirements of the U.S. Environmental
Protection Agency Records Control Schedules. A copy can be
obtained from the Regional Hearing Clerk in the Office of
Regional Counsel.
Name of Record/File
Office Administrative
Files
Retention Period
Destroy when 2 years old or when no
longer needed; whichever is sooner.
Schedule of Daily
Activities
Privacy Act Requests
Requests Appealed
Requests Denied
Requests Denied
Appealed
Request to Amend
Request to Amend
Refused
Destroy when no longer needed.
Destroy when 2 years old.
Destroy after 3 years.
Destroy after 5 years.
Destroy in accordance with subject
record or 3 years after final
adjudication.
Destroy in accordance with subject
individual's record or 4 years after
agreement to amend.
Destroy in accordance with subject
individual's record, 4 years after final
determination, or 3 years after final
adjudication by court, whichever is
later.
Accounting of
Disclosure of Files
Destroy in accordance with subject
individuals record or 5 years after the
disclosure for which accountability was
made, whichever was later.
Control files . 5 years
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Name of Record/File Retention Period
Freedom of Information Act
Access Granted
Control Files
RCRA Permit File
Notifications, Excluding
Treatment, Storage or
Disposal
Compliance Files -
All Pollution Sources
Enforcement Action Case
Files - All Pollution
Programs:
No legal action
Routine Legal
Actions
Landmark Cases
Rapid Tax
Amortization File
State Implementation
Plan File
Enforcement and
jability Records
("FOIA") Request
Destroy after 2 years.
Destroy after 5 years.
Retain 5 years. Close file when
facility ceases to operate or emit
pollution. Keep in office 1 year.
Destro yafter 3 years.
Retain 5 years then destroy.
Retain 5 years. Break file after case
required closed. Keep in office 1 year, tl- ¦
transfer to the Federal Records Center
(FRC).
Retain 20 years. Break file after case
closed. Keep in office 2 years, then
transfer to the "FRC."
Permanent. Break file when case
closed. Keep in office 5 years, then
transfer to "FRC."
Retain 7 years. Keep in office 2 years,
then transfer to "FRC."
Destroy when no longer needed.
Retain 20 years after completion of
legal and cost-recovery actions. Keep
in office 2 years, then transfer to
"FRC."
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Name of Record/File
Legal Reference File
Enforcement/Compliance
Administrative Files
Retention Period
Review each year, retain if needed.
Retain 5 years. Keep in office 1 year,
then transfer to the "FRC."
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18.0 The Privacy Act
Purpose To safeguard an individual's privacy from the misuse of
federal records.
To allow any individual to determine whether EPA (or any
other agency) maintains any record pertaining to him or her,
to retrieve the record maintained, and to correct or amend
that record if consistent with the Act.
To provide notice to an individual of whom EPA maintains a
record that a request for that record has been made by a
third party.
General Rule
Records in a "system of records" may not be disclosed by "any
means of communications to any person or to another agency,
" 5 U.S.C. Section 552a(b), without the prior written request or
consent of the individuals to whom the records pertain.
The Act applies when a Request for Information is:
- made by "Individual" which means a citizen of the United States
or an alien lawfully admitted for permanent residence (Not a
corporation).
about a "Record or "Record(s)" maintained by an agency about an
individual, access to which is by name, identifying number, symbol,
or other similar identifying particular (e.g., fingerprint, voiceprint,
or photograph).
Procedures
for Request
Under Privacy
Act
- Within a System of Records,' which is defined as a group of records
under the control of an agency, in this case EPA wherein
records can be retrieved by personal identifier.
General Requirements for Request:
All requests must be in writing, and must include: the name of the
individual making the request; the name of the system of records and
the record sought in that system.
The individual seeking access to a system of records must
verify his/her identity in accordance with the requirements
of 40 C.F.R. Part 16.4; Inspection of records are permitted.
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Requests for The manager of the system of records shall acknowledge receipt
Access of request within ten (10) days of its receipt.
A decision to grant access should be made promptly, but no
later than thirty (30) days from the date of the receipt
of the request by either sending a copy of the record to
the individual (40 C.F.R. Part 16.4(e)) or by making the
record available for inspection.
A decision to deny access must be made within thirty (30)
days of receipt of the request and must state the reason(s)
for the denial and the requester's right to administratively
appeal the determination to the Privacy Act Officer (40 C.F.R.
Section 16.5(d)).
A request for correction or amendment of a record must state
the description and nature of the correction or amendment
sought.
A decision to grant request should be made promptly, but no
later than thirty (30) days from the receipt of the request.
The correction or amendment must be sent to all persons to
whom the record had been previously disclosed.
A decision to deny all or part of a request must state the
reason(s) for denial and the requester's right to
administratively appeal the determination.
Remember: No record of an individual should be released
without that individual's prior written approval.
Caution: A determination concerning the applicability of
and review under the Privacy Act should be made
in consultation with the Water and Management Branch
Office of Regional Counsel.
Request for
Correction or
Amendment
References:
The Privacy Act of 1974, Pub. L. No. 93-579
(December 31, 1974), 5 U.S.C. Section 552a
EPA Regulations, 40 C.F.R. Part 16
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19.0 Grievances
Definition A grievance is a complaint filed by an employee, a union, or
management under the procedure contained in the collective
bargaining agreement An employee or a union can file
against management; management can file against the union.
Grievances are not a personal reflection on anyone. Grievance
procedures are problem-solving mechanisms. Employees and
unions have the right to file grievances without the fear
that management will retaliate against them for using that right.
Only the union can represent a bargaining unit employee in a
grievance filed under the contract.
All professional and non-professional employees are in the
the bargaining unit. Excluded are supervisors, confidential
employees (e.g., Division Secretaries), employees engaged
in Federal personnel work and employees of the Office of Regional
Counsel. Those employees must use the EPA Administrative
Grievance System (3110.8 dated 3129183.) If the employee does
not want union representation, the employee can present the
grievance on the employee's own behalf. This means that the
employee cannot get a lawyer or anyone else to represent him/her.
Under no circumstances should you meet or discuss an employee s
grievance with anyone outside management except the employee
or union representative. Also, even if the employee decides
to go it alone, the union has an absolute right to be present at any
meeting with the employee about the grievance. It makes no difference'
whether the employee wants the union present.
Information Under the contract, an employee's complaint must first be discussed
Resolution with the immediate supervisor or appropriate management official
in an attempt to settle the matter in an informal manner. Your reply
to the employee should normally be within three working days of
the first hearing of the complaint. Everything is done orally at this
stage. Most employee complaints are resolved in this way. If you
are presented with an informal grievance, call the Human
Resources Management Branch immediately.
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Negotiated
Grievance
Procedure
Complaints which are not resolved informally may be filed under the
Negotiated Grievance Procedure (NGP). The NGP we use is a two step,
process:
Stepl:
-employee presents grievance in writing to immediate supervisor
or management official having the authority to resolve the
grievance;
-employee must explain what is being grieved, the personal relief
sought or correction action desired, designation of representation
and it must be signed and dated;
-employee must present the grievance within 30 calendar days of the
event or non-event being grieved;
-employee must receive a written response within 15 calendar days
of presenting a grievance.
Step 2:
-employee may present the complaint to the next level supervisor
over the supervisor who heard Step 1 if dissatisfied with the
resolution;
-employee must present the complaint in writing within seven
calendar days of receiving the Step 1 response;
¦employee must receive a written response within 30 calendar
days of presenting the grievance;
-the union may refer the matter to binding arbitration if the
grievance is not resolved.
You probably will never be involved in a grievance, but if you are,
call the Human Resources Management Branch immediately.
Reference5
Collective Bargaining Agreement Between the American Federation
of Government Employees and the United States Environmental
Protection Agency, Article 31 - Grievance Procedure, dated
June 11, 1984.
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20.0 Counseling on Employee Problems
Counseling
Responsi-
bilities
C0UNSSLW&5i
SfCtfOM' CHirp
15
Where do my counseling responsibilities start?
As a manager, you should make yourself available to counsel your
subordinates whenever necessary. For problems that are
not job-related though, you may wonder what you can do. The
most important and useful ro leyou can play is to listen.
Often, employees who feel overwhelmed by their problems can
gain some perspective from a concerned but objective listener.
For most personal problems, you probably won't be able to suggest a
solution; just remember that listening to and reflecting on what an
employee is telling you is an important function in itself.
Where do my counseling responsibilities end?
The responsibilities of supervision don't include giving professional
advice; that would more appropriately come from a doctor, lawyer,
psychiatrist, or other professionals who'counsel. No one
-except maybe an employee-expects you to be an expert in
these areas, nor should you feel responsible for solving problems
that are the employee's. If you can act as part of the solution, it's
acceptable to tell a troubled employee what action you plan to
take. But when professional help is necessary, the Employee
Counseling Service is available to provide it.
Employee The Regional Office belongs to a consortium of agencies in the
Counseling Philadelphia area that contracts with the Occupational Health
Service Sen/ice to provide employee counseling and assistance.
It is designed to refer callers to confidential counseling when
problems surface with work, family, stress, drugs and alcohol,
finances, or any other area. The staff consists of licensed
professionals with years of experience helping employees solve
problems that affect their personal lives or their employment situations.
The program covers any employee. There is no charge unless
a problem requires extended counseling sessions and costs
can usually be offset, at least partly, by health benefit plans.
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For information or assistance, you or an employee of yours can call
(215) 496-0029 in the Philadelphia area, or toll-free from anywhere
in the U.S. (800) 227-1060. All contacts with ECS are strictly
confidential; in fact, once you have referred an employee to ECS,
you will have no access to privileged information without
the employee's permission. If an employee has a problem
impacting performance, you may require that employee to
attend counseling.
Besides assisting your subordinates to solve their problems, ECS car
work with you to appropriately handle your role as the manager
in problem situations. In fact, the service is even available to .you
personally if stress or other problems grow from a subordinate's
situation.
Alcohol or An employee with a drug or alcohol dependency may at some
Drug point talk with you about it Sometimes, an addiction problem
Problems may simply manifest itself as a noticeable drop-off in performance.
The Employee Counseling. Service is available for assistance
in rehabilitation efforts. Alcohol or drug dependency is recognized
as a handicapping condition, requiring EPA as an agency to
provide "reasonable accommodation1': that is, assistance in
overcoming the handicap. ¦ For this reason, it is critical that you
contact the Employee Assistance Program Coordinator in the
Human Resources Management Branch as soon as you learn
or suspect that a drug or alcohol problem is causing a
performance or conduct deficiency.
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21.0 Labor Management Relations
Representation The union represents all the employees in the bargaining unit,
and regardless of union membership. Union membership is irrelevant. This
Bargaining means we do not ask employees whether they are union
Units members. Along the same line, we do not provide advice,
even if solicited, on whether employees should vote for or join a
union. It is none of our business how employees vote in a union
election, if they decide to join a union, or how they feel about
having a union represent them.
In Region III, over 80% of our employees are in either the
professional or non-professional bargaining units. These
employees are represented by the American Federation of
Government Employees (AFGE).
In Region III, the Master Agreement is administered by a Labor
Relations Officer (LRO) with the local AFGE Union President
representing the employees. If you have any questions as to
whether one of your employees is in a bargaining unit, call the LRO.
Contact with You should always have a management representative (e.g., the Labor
the Union Relations Officer) present in formal situations, like a grievance meeting.
In less formal areas, it's up to you. If you have little experience in
dealing with union representatives, it is a good idea to have a
management representative with you. Also, if it's a volatile
subject, regardless of the forum, ask for someone to sit in
with you. Contact the LRO for assistance in dealing with union
representatives or to attend a meeting with you.
Remember you are a symbol for "management". Remain calm and
objective. Once you respond to the verbal attacks by the employee
representative, you are in a no-win situation. Try to divorce your
personal self from the event and see if you can discover the facts and
perceptions of the situation.
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Sometimes a meeting occurs with no warning and can't be avoided. If
that happens, take notes of what transpired and don't agree to do
anything except consider what the union representative has
said. There is nothing wrong or inappropriate with telling a union
representative you want to think about it before you agree. Caution
is not illegal.
The What is a Weingarten?
Weingarten Employees in a bargaining unit have a legal right not available to the
Right rest of us called the Weingarten right.
A bargaining unit employee being examined (questioned) by an
Agency representative in connection with an investigation has the
right to have a union representative present if:
(1) the employee reasonably believes the examination may
result in disciplinary action against that employee, and
(2) the employee requests representation.
An examination by an EPA official in the context of an investigation
may trigger a Weingarten situation. The employee must be asked
questions which he/she must answer (Employees are subject to
disciplinary action for failing to answer questions). Situations
where an employee is being told or given something (i.e., letter
of reprimand, leave restriction) or being counseled (i.e., conduct
or performance) are not examinations.
The employee must reasonably believe that disciplinary action may
result from the examination. You can waive the possibility
of disciplinary action by stating no action will be taken against
the employee. Remember, you are an agent of EPA, and if you
waive action, you do so for the whole Agency.
Even if both conditions are met, the employee must still request union
presence. We do not read employees their "rights" before we start
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questioning. If the employee doesn't request to have a representative
present, there is no right to one. Employees are informed
annually through the newsletter of this right.
If an employee invokes Weingarten and you're unsure if both conditions
are met, contact the LRO for advice. Failure to allow a union
representative in a bona-fide Weingarten situation subjects you and the
Agency to an Unfair Labor Practice Charge.
In a Weingarten situation, the employee is entitled to have only a
union representative present. No lawyers, fellow employees,
family members, nor anyone may be present unless the individual is
an authorized union representative. You must wait for a union
representative before you begin questioning. You should also
request the LRO to attend. The Union representative cannot
answer questions for the employee. The employee can consult
with the representative before answering, but the employee
must answer. Be calm, objective, and ask what you need to know
and no more. Keep in mind this is a highly charged situation,
particularly for the employee.
Formal The union has a right to be present at any formal discussion between
Meetings an EPA representative (i.e., you) and a bargaining unit employee
when the discussion concerns any grievance or change in
personnel policy, practice, or general condition of employment.
Generally, staff meetings, counseling sessions, and performance
appraisal discussions are excluded.
The most common situation most supervisors face is announcing a
reorganization plan in advance of formal union review. The union
has the right to be notified of the meeting in advance (usually
24 hours) and to send a representative. You should contact the
LRO in these cases to determine whether your situation is a
formal meeting. If it is, the LRO will contact the union and invite a
representative to attend.
The LRO will also attend formal meetings when a union representative
is present. In the unlikely event things get nasty, the LRO can intervene
and remove you as a point of confrontation.
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The Contract The contract spells out how management and employees deal with
situations involving the employees'working conditions. In some esse:
the contract contains entirely different procedures or processes than
EPA policies, and you must adhere to contractual provisions. It is
extremely helpful if you read the labor agreement.
The overwhelming majority of problems associated with contract
violations occur simply because the supervisor or manager did not
know what was in the agreement.
When you are in a situation where the contract is not clear, call the
LRO. Most provisions have a bargaining history which help interpret
and apply a particular contract provision.
Collective Bargaining Agreement Between the American Federatior
of Government Employees and the U.S. Environmental Protection
Agency; dated June 11, 1984.
Title VII - Federal Service Labor-Management Relations;
dated October 13, 1978.
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22.0 Merit Pay, Cash Awards and Appraisals for Managers
Merit Pay Under the Performance Management Recognition System (PMRS), your
merit increase is based on your position in the salary range
(i.e., tercile) and your performance rating. If your current saiary
is below the rate for step 4 of the General Schedule for your grade,
you are in the first tercile. If your current salary equals or exceeds the
rate for step 4 of the Genera/ Schedule, you are in the upper terciies.
Mew supervisory employees who were promoted within 90 days of
the effective date of the next merit increase (usually the first week in
October) are ineligible for a merit pay increase.
This is the matrix used to determine a merit increase:
MERIT INCREASE
PERFORMANCE
RATING
1ST TERCILE UPPER TERCILES
Outstanding
Full WIGI* Full WIGI
Exceeds
Expectations
Full WIGI 112 WIG!
Fully
Successful
Full WIGI 113 WIGI
Minimally
Satisfactory ZERO ZERO
Unsatisfactory ZERO ZERO
*Within Grade Increase
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Cash Awards PMRS performance awards are also based on a manager's
performance evaluation. Any employee in a PMRS position
(i.e., GM designation) on the last day of the appraisal period is
eligible for a PMRS award. Awards are usually distributed in
December.
Funding for performance awards comes from the Agency's Personnel,
Compensation and Benefits Budget (1.15 to 1.5%) of estimated
total PMRS salaries at the discretion of the RA. In Region III, the awards
budget is allocated on a per capita basis using divisional pools.
The division is allocated a per capita share for each PMRS employee
on board for the first full pay period on or before October 1.
Senior managers at various levels may withhold part of the pool
to provide additional rewards for strong individual performances
beyond the limitation of specific divisional pools.
PMRS employees rated Outstanding must receive a cash award of
at least 2% of base salary. Awards for Exceeds Expectations and
Fully Satisfactory are discretionary but must be less than the
award given to a higher rated employee in the same divisional pool.
Performance
Appraisals
for Merit Pay
Employees
During the appraisal process, the following procedures apply:
The Merit Pay employee completes a self-assessment of
performance against the Performance Agreement by documenting
factual information.
The Rating Official (immediate supervisor and the employee meet
to get additional information and clarify facts in the information
provided. No performance score or adjective ratings are assigned
or discussed at this meeting.
After this meeting, the supervisor assigns a proposed, clearly
documented performance rating for each performance standard.
The Supervisor then submits the entire package for each employee
being rated to the Reviewing Official (second level supervisor) for
review and discussion. The entire package for each division/office is
then submitted to the Pool Manager (Division Director). The Pool
Manager's review is intended to ensure the credibility and integrity of
the Merit Pay System.
The Pool Manager may require further information or justification for
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each rating and disapprove a rating.
. Once the ratings are reviewed by the Pool Manager, the package
for each employee is returned to the Reviewing Official. The Rating
Official and the employee then meet to discuss the performance
ratings. The purpose of this meeting is to have an open and frank
discussion with the employee on hislher objectives and
accomplishments and to give the reasons for Vie assigned rating
on each performance standard.
After this meeting, the Rating Official makes any changes in the
ratings and documentation that resulted from the discussion with the
employee. Where a change in a proposed rating on a performance
standard would raise or lower an employee's adjective rating, the
change and justification must be transmitted to the Reviewing Official
and Pool Manager for concurrence.
The Rating Official and the Merit Pay employee sign and date the
Performance Agreement to signify that the performance appraisal
interview has taken place. The employee's signature indicates
that he/she has conferred with the supervisor about his/her
performance against the established performance standards.
It does not indicate concurrence with the score or the adjective rating,
nor does it preclude the employee from using the Agency's
Administrative Grievance Procedure to submit objections to his
final performance appraisal score and/or summary adjective rating.
Once the Approving Official/Pool Manager signs, the original is
submitted to HRMB for inclusion in the employee's performance file
(EPF). Copies of the Performance Agreement and any supporting
documentation are retained by the Rating Official and the employee.
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23.0 Sexual Harassment
Definition "Sexual harassment is unacceptable conduct in the workplace and wil,
not be tolerated at EPA Region III. All employees must be allowed
to work in an environment free from unsolicited and unwelcome sexuai
overtures."
Regional Administrator, 1987
What is sexual harassment?
Sexual harassment is any repeated or unwanted verbal or physical
sexual advance, sexually explicit derogatory statement or sexually
discriminatory remark made by someone in the workplace which
is offensive or objectionable to the recipient, which causes the
recipient discomfort or humiliation, or which interferes with the
recipient's work performance.
Sexual harassment may range from "aesthetic appreciation" of physical
characteristics, to "off-color" jokes, to a demand (or request in jest) for
sexual favors in return for a promotion or favorable performance
appraisal.
Harassment is defined by the recipient, based on his or her assess-
ment of a situation.
A supervisor who uses implicit or explicit coercive sexual behavior
to control, influence or affect the career, salary or job of an
employee is engaging in sexual harassment.
An employee of the Agency, an Agency contractor, or an Agency
grantee who behaves in this manner in the process of conducting
Agency business is engaging in sexual harassment.
An employee who participates in deliberate or repeated unsolicited
verbal comments, gestures, or physical contact of a sexual nature
which are unwelcome and interfere with work productivity is also
engaging in sexual harassment.
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Manager's
Responsi-
bilities
As a manager, you should be sensitive to interactions among staff
members and other managers of your organization, contractors,
and grantees.
You must take all steps necessary to prevent sexual harassment from
occurring and investigate and correct instances of sexual
harrassment when they have occurred. However, you should keep
in mind that it is not the intent of the Agency to regulate the social
interactions or relationships freely entered into by EPA Region III
employees.
If you suspect a problem, speak with the affected individual to
determine the facts, his or her reaction to the situation, and what
actions he or she may have taken in response to the offending
behavior. Before taking corrective action, it is recommended that
you consult with the EEO Manager at 7-3601 for further information.
If you become aware of potential sexual harassment either through
direct observation, reports from victimized employees or
complaints from others, you must take immediate corrective action.
To delay action or not act in order to maintain a confidence or for
other reasons, may subject you and EPA to liability in instances
where you or the agency knew or should have known that
harassment was occurring.
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i nis page inxenuonaiiy uen manic
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24.0 Personal Business, Gambling at Work
Prohibited EPA's Conduct and Discipline Manual does not permit employees to
Activities engage in private activities for personal gain or any other unauthorized
purpose while on Government premises. This prohibition applies
specifically to such activities as:
(1) Canvassing, soliciting, or selling for personal monetary gain.
(2) Promoting group buying when such action could reasonably be
interpreted as involving the improper use of Federal facilities
and manpower.
(3) Canvassing or soliciting membership, except as officially
authorized in connection with organized employee groups.
(A) Soliciting contributions from other employees for a gift to
anyone in a superior official position in contravention of law-
5 U.S.C. 7351. This prohibited activity applies on or off
Government premises.
Gambling or promotion of gambling on EPA premises is prohibited.
Permitted This prohibition does not apply to:
Activities
(1) Personal notices posted by employees on authorized bulletin
boards.
(2) Solicitation of contributions for charitable, health, welfare,
and similar organizations as authorized by appropriate authority.
(3) Collection of contributions for group immunization programs
conducted for the benefit of employees.
(4) Those types of activities commonly accepted as normal social,
welfare, or recreational functions of voluntary groups of
Federal employees.
(5) A spontaneous, voluntary collection for an employee who is being
married, retired, separated or is ill, or as an expression of
condolences when conducted by co-workers of a status
approximately equal to or lower than the employee's.
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25.0 Taking Action on the Problem Employee
The Basic Most employees are self-disciplined and motivated to work on their
Decision own for the agency's best interest. A great percentage of management
time can best be spent by rewarding work well done and thereby
improving already good performance.
Sometimes, managers and supervisors are faced with employees
whose performance or conduct raises problems. Not sure how to
proceed or believing that any action is too difficult, these problems are
allowed to slide. Inaction is not usually the answer because it may turn
small difficulties into major disruptions.
ecisions to Be Made:
The employee has done something or failed to do something which
adversely affects his or her work, the ability of other employees to do
their jobs, or the agency's mission. You are faced with decisions on
how to handle the incident or series of incidents. First, you must
decide whether the incident involves the employee's poor
performance on the job or involves an act of misconduct. Next, you
must decide what type of action will best deal with the incident(s).
Performance:
Do the problems raised center around performance; that is,
reports which are prepared unacceptably, typed documents with many
errors, processing forms incompletely filled out? Is the employee's
discourtesy causing problems in a job requiring constant dealings with
the public? Are these instances of poor work included in the
employee's assigned job tasks covered by one or more critical
elements and performance standards? Has the employee been
informed in writing of the'elements and standards so that he or she
knows what is expected? If you answer these questions positively,
such incidents can be handled under the procedures for counseling,
or by reductions-in-grade or removal for unacceptable performance,
a nondisciplinary method specifically aimed at handling continuing
performance problems easily and without delay. Contact the Human
Resources Management Branch for assistance in dealing
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with poor performance. However, if poor performance results from
outright refusal to do the work rather than inability, you may want to
take disciplinary action discussed in the next paragraph.
Conduct
Is the employee coming to work late or not requesting leave
properly? Was he or she in a fight or talking rudely to fellow employees?
Was he or she disrespectful or insubordinate to the supervisor? Has
the employee been caught taking agency property home without
permission? Was he or she drinking on duty? Did the employee
violate an agency regulation about outside employment? These
are all conduct problems, usually handled through disciplinary
procedures. You have two ways to deal with these, depending on the
severity of the conduct: lesser disciplinary actions, including
warnings and oral or written reprimands, and suspensions of 14
days or less; reductions in grade, and removal. It is better to use the
lesser disciplinary actions, including suspensions of 14 days or less,
when this type of action will correct the problem. It permits you to try
to do so with the least severe action possible. Often, no further action
is necessary. In addition, as less severe actions, they have fewer
procedural requirements. Finally, they establish a record of
progressive discipline, which will establish a better base if more severe
action becomes necessary later.
Special Alcohol, Drugs, and Other Personal Problems:
Considerations Offer Of Counseling: When you discuss performance or conduct
problems with your employee, he or she may tell you of a problem with
alcohol or drugs, or a personal situation which is affecting performance
or conduct Refer the employee to the Employee Assistance Program
Coordinator in the Human Resources Management Branch.
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Opportunity to bring uo problem: If you only suspect the
existence of alcohol or drug abuse as the reason for a performance or
conduct deficiency, you should ask the Employee Assistance Program
Coordinator for advice on your next step. After you talk to the
coordinator, you probably will want to have an informal discussion with
the employee on the unsatisfaictory performance or conduct, and the
possibility of future actions, and then refer him or her to the Employee
Assistance Program. If an employee who you believe has an alcohol
or drug problem will not admit to it and/or seek help, when you have
given an opportunity to do so, then you should proceed with whatever
action is necessary.
Failure to keep agreement: If the empolyee agrees to
participate in a rehabilitation program and then does not keep
appointments, or the rehabilitative efforts do not result in performance
or conduct improved to an acceptable level, then you should take (or
recommend) appropriate personnel action.
Reasonable Accommodation
Possible handicapping condition: In the case of alcohol and
drug problems, you are required to offer rehabilitative assistance as
"reasonable accommodation" of the employee's known handicap. The
employee may offer a physical or mental disability as the reason for a
performance or conduct problem. You should ask him or her for a
specific statement from a physician to substantiate the existence of the
condition and its effects on the employee's job performance. Contact
the Human Resources Management Branch about whatspecific
information you should request of the physician.
Ways of providing accommodation: If you find that the employee
is indeed suffering from a handicapping condition, you will
want to check with the Human Resources Management Branch on what
steps can be taken to accommodate the condition-either by changes
to the current position or by reassignment to another position. Many
employees can continue useful employment this way.
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Dealing With An employee may be reduced in grade or removed for unacceptable
Poor performance, i.e., when an employee is not performing acceptably in
Performance one or more critical elements of the job. You can take an action at any
time in the performance appraisal cycle when you believe performance
has become unacceptable.
Opportunity to Demonstrate Acceptable Performance: An
employee must be given an opportunity to demonstrate acceptable
performance before an action is proposed. The opportunity must
include a reasonable time (typically, 30 to 90 days) commensurate
with the duties and responsibilities of the employee's job which
will enable the employee to show that he or she can meet established
minimum performance standards for the critical elements of the job.
When the employee fails to show acceptable performance, an action
may be proposed.
Procedural Requirements: Once you have decided to propose a
reduction-in-grade or removal for unacceptable performance,
you must meet the procedural requirements of law and regulation if
your action is to be sustained on appeal or in a grievance. One main
point of interest is that you no longer have to prove that an action based
on performance has been taken for such cause as will promote the
efficiency of the serviceYou need show only that the employee has
failed to perform acceptably in one or more critical elements of the
job. A second point is that the degree of evidence or proof required
to support your action (if an employee appeals) is less than that for
adverse actions taken for other reasons. In establishing your record
and supporting your action, it is extremely important to have
documentation concerning:
(1) Work products that fail to meet previously set standards
of performance.
(2) The reasonable time and opportunity given the employee to
show acceptable performance.
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(3) The employee's performance during the opportunity period.
(4) Various procedural steps followed in proposing and
deciding on the action.
You should contact the Human Resources Management Branch for
assistance in preparing this documentation so that it complies with the
requirements of the Privacy and Freedom of Information Acts and
provides the degree of evidence required by law.
If you do decide to recommend a reduction-in-grade or removal of an
employee, you may base your decision only on instances of
unacceptable performance within the last year. This protects the
employee, but primarily assures that you not delay actions when they
are warranted.
Dealing With What you are trying to find, naturally, is the minimum amount of
Employee discipline necessary to solve the problem, so that the employee
Conduct will not be penalized out of proportion to the offense. This is
particularly true of an employee who previously had a
satisfactory record. Using the least severe penalty possible,
allows you to establish a record of progressively severe
discipline, which you may need later if major adverse action is
necessary. Sometimes, the misconduct will require
severe action immediately. An pften-given but nonetheless, good
piece of advice is to impose like penalties for like offenses. Merit
principles require "fair and equitable treatment in all aspects of
personnel management," and say that employees should be protected
against arbitrary action. However, the specific offense, mitigating
circumstances, or a previous record of poor conduct may require
different corrective actions or penalties when two or more employees
are involved in the same offense or misconduct. The Employee
Relations Specialist in the Human Resources Management Branch can
provide advice on the appropriate corrective action to take.
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Procedures: If you decide that the only solution to the problem is a
suspension, reduction-in-grade or pay, or removal, you must comply
with appropriate statutory and regulatory procedures. The Employee
Relations Specialist will assist you in preparing this documentation
If you have established and documented a record of progressive
corrective action, your later proposal to take severe adverse action will
be easier to sustain on appeal. Often, too, a record of progressive
discipline will support a removal for the last in a series of minor
infractions which individually would not support removal. Always keep
records to later document any proposed action. Of course, your notes
are for your eyes alone, not to be circulated. The standard for adverse
actions in these situations is "such cause as will promote the
efficiency of the service." You will need to provide a "preponderance"
of evidence for your action to be sustained on appeal. You
should know that there are no appeal rights to the MSPB for
suspensions of 14 days or less. Both the merits and the
procedures of these suspensions are grievable through the
Negotiated Grievance Procedure.
References:
"Adverse Actions" EPA Order 3110.6B; July 29, 198
"Conduct and Discipline" - EPA Order 3120.1: Seotemher on 100s
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26.0 The Budget
Internal What It Is: A process to reallocate funds to specific regional
Budget categories based on regional input and final HQ allocations.
Process
How It Works: The Region receives seven appropriation categories
of funds:
Superfund Internal*
Superfund External
Salary and Expense *
Abatement, Control and Compliance
LUST*
Construction Grants
Buildings and Facilities
*These three appropriations fund Regional salaries, travel and
discretionary.
The appropriation categories are further delineated into Object
Class Codes. Object Class Codes is a budgetary mechanism for the
distribution and charging of funds under the EPA budget system. This
four digit code specifies by both major and minor classification and
how much money has been budgeted and is being expended. Major
classifications include: (I) personner compensation (1100); (2) benefits
(1200); (3) travel and transportation of persons (2100); (4) trans-
portation of things (2200); (5) rent and utilities (2300); (6) printing
and reproduction (2400); (7) other contractual services (2500); (8)
supplies and materials (2600); (9) equipment (3100); and (10) grants,
subsidies and contributions (4100).
Lastly, the Object Class Codes are further organized by Account
Number. The Account Number structure is a 10-character code
designed to specify the program in which an employee works, and is
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Example Account Number: 8AF
Character No. Account No. Description
8AFE03LOWP
Example
1989
Salaries and Expenses
Water Enforcement
Region III
None
Permits Enforcement Branch
2
3,4
5,6
7
9,10
8
A
FE
03
0
WP
Fiscal Year
Intramural vs Contract
Program Designator
Allowance Holder
Local Designator
Branch/Section
Funds are also allocated in two categories: Intramural and
Extramural. Intramural Funds are funds allocated by Headquarters
to the Regions for basic operations. These funds are used (I) to pay
EPA employees, (2) for travel by EPA employees, and (3) for
expenditures in support of EPA employees. These expenditures
primarily include rent and utilities, printing and reproductions, supplies
and materials, equipment, ADP contractual sen/ices, and other
contractual sen/ices.
Extramural Funds are funds allocated by Headquarters to the
Regions on a program-specific basis primarily to support state/local
programs and construction grant programs. These funds may also be
used to enter into contracts to meet specific program needs.
Finally, the Regional Office of the Comptroller issues a monthly
StatusofFundsReport which provides each division with its budget,
utilization and balances otworkyears and funds by appropriation. Data
is provided on the status of award, travel, training, overtime,
discretionary, and grant funds. A key indicator section highlighting
changes which occurred during the month is included.
Supervisor's Responsibilities include: Knowledge of Agency/Regional
Priorities, full time equivalency usage, status of fund allocations and
on-going usage, travel regulations, training guidance, Federal Grant
Regulations and Performance Based Grants Policy. Don't commit the
Region to pay for anything without prior approval.
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Regional What It Is: A process to distribute FTE workyears by decision
Resource unit to each Division and Office for the upcoming Fiscal Year.
Distribution
System How It Works:
Based on the "Final" Agency FTE distribution to each
division (by program element), a tentative allocation is developed by
the ARA (based on the workload model distribution).
The lead program element manager (Branch Chief) negotiates
a successful inter-Division/Office split of FTEs; if not,
The lead program element (Division Director) meets with other
appropriate Division Director/Office Head to resolve the distribution;
if not,
Each Division /Office submits a finailbest offer to the Deputy
Regional Administrator for final decision.
Regional Tax: Certain Regional functions/initiatives are not
specifically covered in workload models and must be funded from a
Regional Tax. The number of FTEs taxed is arbitrarily distributed
over various program elements for accounting purposes.
Personnel Overcsilina Positions: May be allocated based on specific FY
Resource needs when the attrition rate and operating budget allow.
Categories
What You Should Know: Your program workload models, inter-
Division support needs, specific merits initiatives.
References: Agency Operating Guidance. SAMS Commitments
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Full -Time Equivalency (FTE): A permanent or temporary full
time employee or a combination of temporary and/or permanent
part -time employees whose work hours total 2087 yearly. The mei
by which the Region/Agency tracks work years allocated/used.
Permanent Full-Time Employee fPFT): An employee, regardless
of Pay Plan, who has a position tenure of permanent and a work
schedule of full time (40 hrslweek).
Other Than Permanent Full Time (OPFT): An employee, regardles
of Pay Plan, who has a position tenure of temporary andlor a work
schedule of part time or intermittent.
Non.Ceilinq of Exempt Employees includes:
Summer Aides
Stay-in-School Program
IP A - where EPA pays less than 50%
Employees on leave without pay (LWOP)
Student Volunteers
Unpaid work experience
Permanent Part Time-Employees (PPT): an employee, regardless of
Pay Plan, who has a position tenure of permanent and a work schedulr
of part -time or intermittent
Part -Time Work Schedule: Less than 40 hrs/wk - usually no less
than 16 hrs/wk and no more than 32 hrs/wk.
Supervisor's Responsibility: Maintain a workforce up to 100%
FTE within budget allocations by practicing sound position
management. Maintain a split of 95% PFT to 5% OPFTJPPT for flexibility
and year-to-year workyear variances.
Merits are normally funded from each organization's FTEs.
References:
Financial Management Manual
Pay Administration Manual
Handbook on Appointing Authorities
Timekeeping Manual
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Workload What Thev Are: An annual aaencv process where total
Analysis full time equivalent work years are allocated by decision unit
Models to the Regions based on an analysis of agency guidance and
discrete program outputs (i.e., number of inspections/permits).
How It Works: Annually a "Technical Call" memorandum is sent
from Headquarters to the Regions for the upcoming fiscal year
requesting the final workload analysis and distribution by the end of
March. This forms the basis of the final Regional FTE allocation. Prior
to this date, Regional staff and HO program managers have been
analyzing specific required outputs and associated resources within
the context of the President's budget requests. The workload models
distribute resources effectively and equitably and are linked to the
Strategic Planning and Management System, budget formulation and
planning, and top management guidance.
Model Updates: In July of each year, the Budget Division sends
a proposed list of models for review and comment. Model proposals
are categorized by Tier candidates.
Tier I: A program requiring a new workload mode!. Current model
is inadequate to address significant changes in program activities
or resources (workgroups with HQ and Regional staff are formed to
develop a new model). The number of programs selected for review
is approximately five.
Tier II: A program requiring minor adjustments. Cenain
components of the model need adjusting to address resource shifts,
revisions in program activities or changes in raw data. Formal work-
groups are not required and the national program manager can modify
the model with concurrence of the lead Deputy Regional
Administrator*. The number of programs selected for review is
approximately ten.
Tier III: A program requiring no change to its workload model. A Tier
III distribution may reflect minor technical changes to raw data or the
calibration method.
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In addition, the Budget Division will routinely distribute
a prorated distribution of the budget year's program totals showing
each Region's increase or decrease obtained by applying a
percentage change in the Regional total to each Region. A National
Program Manager may, after consulting with the lead Region, decide
to use the Prorated Distribution rather than reopening data or
calibration, especially where resources allocated to Tier III programs
remain static.
However, we do not prohibit a program office, after consulting
with the lead Region, from modifying a Tier III distribution if a change
is warranted. When such a change occurs, especially if it is signifi-
cant, it is incumbent upon the lead Region to consult the senior
managers in the other regions.
*Each major program (Air, Water, SF, etc.) has a lead and back-up
DRA.
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27.0 Correspondence - Front Office Formats
Salient What It Is - Weekly Reports to keep the Regional/Deputy
Issues Regional Administrator informed of "significant" activities that have
occurred and to alert them of emerging issues. The issues should be
for RA action; for the RA to inform HO or other Federal agencies and
State agencies; and/or to enhance his knowledge of your
Division/Off'ice as a whole.
What It Should Contain - Generally, it should include:
(1) A clear/concise heading
(2) The Issue - clear, concise statement
(3) Background - Information /Data that succinctly
describes how the issue evolved
(4) Present status
(5) Forthcoming action(s): pertaining to external/
internal organizations
¦ (6) Critical dates
(7) Action by the RA or Division Director
(8) Date/Originator in lower right hand corner
Length: usually one page
Update: as appropriate with a black line in the left
hand margin indicating the update
When: Due to RA by Friday noon-weekly
Reference:
Regional Administrator's Guidance Memoranda
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Hot Issues What It Is: A system for the RA/DRA to track issues which he
Tracking has determined to be significant.
System (HITS)
What It Should Contain: Preprinted format sent to the appropriate
Branch or Section.
Update: Every two weeks (unless no activity has taken place) or
at least monthly.
Closeout: Determined by the lead person ar 1 requested on the
HITS update.
References:
HITS form
Transmittal Memos for Correspondence to be Signed by Regional
Administrator
What It Is: A method to inform the Regional Administrator of
the contents of specific correspondence and memoranda which deals
with complex issues or controversial topics which he/she is requested
to sign.
What it Should Contain:
(1) What the document is.
(2) Why it is being sent.
(3) What the document will accomplish.
(4) What other options are available, with a brief explanation
of why they were not selected.
(5) Any issues which remain as a result of coordination with
Headquarters, State(s), appropriate divisions.
(6) What repercussions can be expected from Headquarters, the
State(s), elected representatives, public interest groups, or others.
(7) Public relations considerations and need for a press release.
(8) Document preparer, organizational affiliation, and telephone.
extension.
The transmittal memo format does not apply to Litigation Referrals
for the RA's signature. Office of Regional Counsel will continue to
use the existing transmittal memo format for referrals.
Reference:
Regional Administrator's Guidance Memoranda
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Regional
Administrator
Briefings
How It Works: A "Notice of Briefing" will be used by the originator
to alert the attendees of the purpose, scope, time, date and location of
the briefing. Inter-division/office coordination should take place in
advance, a discussion leader appointed and audio/visuals used when
appropriate.
Structure: All briefings should include the following:
(1) Discussion of the Issue - definition, background, EPA's
involvement, present status.
(2) Discussion of the options ramifications/implications,
pros/cons.
(3) Recommendations/preferred option (if decisional) -
include implementation options, coordination aspects (HQ, States,
Congress, Public, etc.).
(4) Appropriate follow-up
Each briefing should consider: Policy, Technical, Legal
Environmental, Political', Congressional, Administrative, Media,
Fiscal and External interests.
Informational briefings should contain as many of the above
items as appropriate.
Supervisor's Responsibilities: Ensure a complete and quality
process and briefing.
What It Is: An important part of the Regional Decision-Making
Process. Requests for briefings will either originate from the
programmatic Division or Office or from the Regional Administrator's
Office.
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APPENDIX A
The Basics of Management
Management, in simple terms, is the art and science of getting things
done through others while helping them develop their abilities in the
process. A general overview of a manager's job is depicted in
Figure 1.
Figure 1
PLANNING
Deciding What to Do
Developing the
framework for
performance
CHANGE
Deciding what should
be changed
Changes in goals,
plans, design,
motivation, and
control systems
ORGANIZING
Deciding how to do It
Establishing order,
function, and design
CONTROLLING
Evaluating Performance
Control, evaluation,
and feedback
DIRECTING
Directing Performance
People in organizations
Most managers live with the frustration of too much to do and too
little time to do it. We tend to overlook opportunities to double and
triple our efforts by using tools right at our fingertips. Successful
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managers "leverage themselves" by multiplying their own productivity
by using their most obvious resource - their people. There are 3 basics
that can help supervisors in leveraging themselves:
Communication
Delegation
Feedback
These behaviors are important not only because theory and logical
coherence indicate that they should be useful but because experience
in today's work climate has repeatedly shown that they are useful. What
matters is that the behavioral extensions of these activities work; that
time and again, in countless types of work situations across a wide
range of organizations, the presence or absence of these skills
merges as a fundamental reason why a leader has succeeded or failed.
Communicating
Of all the activities and functions that are performed by a manager,
none take up more time or is as vital to success as communication.
Communication in an organization helps managers influence others,
express feelings, exchange information and take control.
If you remember that your objective as a supervisor is to get results,
you'll appreciate the importance of communicating clearly, in a
manner that motivates your employees instead of confusing them
or making them resentful.
In your day-to-day communications with your employees, you really
only need to get across a few basic messages:
"This is what I think."
'This is what I feel."
'This is how I see the situation."
'This is what I want done."
Don't forget-while your getting your point across, communication
is a fwo way street. Listen to what the employee thinks and
feels! Rather than avoid or dislike talking to employees about
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these things, the successful supervisor welcomes the opportunity.
Key points to remember in communicating with people include:
1) Be direct and to the point.
2) Show consideration, respect, and recognition of the
person with whom you're communicating.
3) Focus on specifics.
4) Explain your own reactions.
5) Make it a two-way discussion.
BE CAREFUL OF USING GENERALITIES.
When giving praise, for instance, a supervisor will often say, "Bill,
you're doing a great job."
In truth, the supervisor has a specific example in mind, but he or she
fails to communicate it by using such a generality. In this case,
focusing on specifics would involve a comment like "Bill, the way
you helped Camille organize the work flow at the data entry station
has really speeded up the reports. I appreciate it:'
BE CAREFUL OF MAKING STATEMENTS THAT ARE EVALUATIVE
AND ABSOLUTE.
An example of such a statement would be: "You're always making
mistakes. Sometimes I think you'll never do anything right." Not only
does such a statement provoke anger and resentment, it usually is not
true. In fact, the employee is not always making mistakes: he or she is
just making too many of them. And obviously, sometimes the employee
does something right. Evaluative and absolute statements are
perceived as unfair because they usually are unfair. Once an employes
feels he or she is being treated unfairly, your chances of communi-
cating effectively become very small.
BE CAREFUL OF MAKING ACCUSATIONS.
An accusation is a judgment, and often a supervisor doesn't have all
the facts to make a correct judgment. "Mary, the trouble with you is
you're just plain lazy," is an accusation. And such statements will
inevitably destroy a supervisor's relationship with his or her employees
because they focus on the employee rather than on the problem. In
truth, Mary may not be lazy at all. She may be anemic; she may be
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a slow learner; she may have problems at home. But
as Mary's supervisor, you'll never find out why Mary works slowly
by making an accusation. Focusing on specifics, you might approach
the problem by saying, "Mary, you seem ,to always take an extra five
minutes at breaktime and Personnel tells me that you usually don't get
the attendance records to them until eleven o'clock instead of ten
I feel this is too slow. What can you suggest we do to solve this
problem?"
Delegating
Delegation is the art (and the discipline) of handing someone else a
job that you can do perfectly well, and probably better than the person
to whom you are giving the job. To truly leverage your time, (and have
time to 'smell the roses') delegation is essential.
Mastering the art of delegation, like the mastery of any art form,
demands patience and earnest effort. Your job is to think, plan and
supervise as much as possible. In practicing the art of delegation you
are:
. freeing yourself from tasks tMat can be done by someone else;
. concentrating your available energy on that which no one else
can do better or for which no one else is responsible;
. giving those under you a chance to develop and learn how to carry
more of the load;
. freeing time available for the development of your leadership
abilities and thinking of innovative ideas;
. freeing your thinking from details which may keep you
from obtaining an overview of the work situation you are managing;
and,
. finding out who can be trusted to carry out tasks.
To be a good delegator you must be willing to give up some of your
favorite work (which suggests- Heaven forbid-that you are
dispensable).
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To be a good delegator, you must be a patient teacher (which means
accepting occasional mistakes and helping your staff learn from them).
You must be willing to give your staff the authority to complete the
assignment along with the accountability for doing it. Finally, you must
advertise the accomplishments of your subordinates, which means
saying, "I couldn't have completed that report (or project, or
reorganization) without their efforts."
The moral of the story is simple. You cannot delegate effectively
unless you demonstrate leadership-that is, present yourself as being
in command, plan direction and assignments for others, and stand by
to helpand to review end products. By the same token, you cannot
lead well without delegating work to your subordinates. By failing to
delegate, you lead only yourself, and armies of one go nowhere.
Some further reasons for delegating include:
Most of the business of management, in case this is not already
abundantly clear, is delegation. You've moved from taking orders
to giving them, from doing to directing. (You're still ultimately
responsible for the results.) Your staff relies on-you to coordinate
the work of the unit so there are no gaps, no duplications of
effort, and consistent.quality.
You now are responsible for training people to do their jobs well.
One way to do this (besides formal training) is to let employees tske
on and complete tasks.
You are not physically capable of doing all the work yourself.
(This doesn't stop some managers from becoming overextended,
ineffectual workaholics, but we suggest it should stop you.)
You may not have the expertise to do all of your subordinates'
jobs. And even if you do, reread the preceding sentence.
Your job is to see that people's skills are used, and mesh well,
to produce your output and meet your departmental and
organizational goals. It may be hard to give up the title of "Best
Dammed Permit Writer This Division Has Ever Seen," but if you
don % you might as well go back to writing them.
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. You'll save time. And you'll need all the time you can get,
especially while you're learning the job and refining your delegation
techniques.
The important steps to effective delegation include:
1. Describe the framework of the assigned project.
2. Describe the desired end result.
3. Define the limitations of time and resources.
4. Ask employee for restatement of assignment and gain
commitment to goals.
5. Discuss the employee's initial ideas for completing the
project and suggest other possibilities.
6. Establish monitoring procedures and feedback required.
Considerable controversy surrounds the issue of supervisors
delegating responsibility, authority, and accountability. We believe
supervisors delegate responsibility, specifically the responsibility to
perform the task. The supervisor, however, retains responsibility to
train the employee, to provide resources, monitor the progress of the
project, and ensure it is completed successfully.
Does the supervisor delegate authority? Absolutely, if the supervisor
possesses it! In most organizations, responsibility outdistances
authority. It is not unusual for people to be asked to take responsibility
for things for which they do not have clear-cut authority.
ONE LAST CAUTION
You rise or fall in an organization because of how well you lead and
delegate. You are stuck if you let a few bad experiences freeze you
into an inappropriate leadership style, or make you cynical and
disrespectful of employees, or cause you to take on too much work
yourself. Your bosses will see you as an unimaginative, simple-minded,
overworked individual with little influence over your staff. Don't cheat
yourself out of your next promotion by working too hard at the wrong
things.
Feedback
We 've seen it; we've heard about it; we all know about it. The
mysterious life force called "motivation": the essence of leadership.
The force that moves people, moves mountains, moves organizations.
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The impulses that can make a new world-a better world-a more
productive world.
One key tool in motivating people is the use of feedback. In fact,
feedback on results can be the Number One motivator of people.
People want to know how they're doing and it's up to the supervisor to
provide that information. There are many reasons why feedback on
performance is essential. They include:
. To make your staff aware of their strengths so their effective
behavior is reinforced. ¦
. To help them understand what improvement they need, and how they
can bring it about (with your help).
. To help them see the relationship between their own needs and the
needs of the workgroup.
. To demonstrate that their needs and the agency needs can both be
satisfied by improved performance.
. To help them set priorities and develop action plans for achieving
their improvement goals.
Feedback on results is not a once or- twice- a- year activity done only
at appraisal time. It should be done as close in time as possible to the
actual performance (or behavior). Feedback can be accomplished in
a number of ways: verbally; a small notation on a report; a handwritten
memo; or an award; to name a few. Verbal feedback takes the least
time, is the most overlooked, yet can achieve the best results.
Some-managers have trouble passing out bouquets. They pay a
compliment as though they expect a receipt. Some go to the other
extreme. They pour syrup all over people.
Some managers refrain from giving praise for good ideas or a job weil
done simply because they are jealous. Give a worker high praise and
the next thing you know, they're jumping over you on the corporate
ladder- that's how they feel.
That's self-defeating. Recognize good work and you give an employee
the will to do better work. Don't recognize it and you feed one of the
biggest gripes employees have-lack of recognition.
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The best thing to do every time is to give credit where credit is due.
You'll be a better manager for it and you'll win more respect.
The One Minute Manager suggests the following steps in giving
positive verbal feedback:
. Tell people up front you are going to let them know
how they are doing
. Praise people immediately
. Be specific
. Tell people how good you feel about what they did, how it
helps the organization and the other people who work there
. STOP: Let them "feel" how good you feel
. Encourage (shake hands, touch, etc.)
Sometimes rather than a praising, a reprimand may be in order. The
One Minute Manager suggests the following points for giving
a reprimand:
. Tell people up front that you will let them know how they are doing in
no uncertain terms.
. Verify facts first
. Reprimand as soon as mistake becomes known
. Explain the error (behavior) precisely, don't attack the person.
. Let it sink in
. Always finish with a reaffirmation of the person (when its
over, its over). You are criticizing the performance, not
the person. Say so.
In summary, feedback is critical to success:
"Help people reach their full potential; catch them doing something
right"
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APPENDIX B
ADD YOUR OWN REFERENCES
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