EPA REGION III manager's Survival Guide U.S. Environmental ------- 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 ------- 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 ------- 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. Manager's "Survival Guide" 1 ------- 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 Manager's "Survival Guide" 2 ------- 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. Manager's "Survival Guide" 3 ------- 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. Manager's "Survival Guide" 4 ------- 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 Manager's "Survival Guide" 5 ------- 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. Manager's "Survival Guide" 6 ------- 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). Manager's "Survival Guide" ------- 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. Manager's "Survival Guide" 8 ------- 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. Manager's "Survival Guide" 9 ------- 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. Manager's "Survival Guide" 10 ------- 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. ttioaoemortt «s-, m for rts n%ecivum is \vu>rc\an ^a\arrt~ \tseA£. C. -j Manager's "Survival Guide" 11 ------- 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? Manager's "Survival Guide" 11 ------- 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. Manager's "Survival Guide" 13 ------- This Page Intentionally Left Blank Manager's "Survival Guide" ------- 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 Manager's "Survival Guide" 15 ------- 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 Manager's "Survival Guide" 1 ------- 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. Manager's "Survival Guide" 77 ------- 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. Manager's "Survival Guide" 18 ------- 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. Manager's "Survival Guide" 79 ------- 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 Manager's "Survival Guide" 20 ------- 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. Manager's "Survival Guide" 21 ------- 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 Manager's "Survival Guide" 22 ------- 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. Manager's "Sun/ival Guide" 23 ------- 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. Manager's "Sur\'ival Guide % ------- 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. Manager's "Survival Guide° 25 ------- 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. Manager's "Survival Guide" 26 ------- 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. Manager's "Survival Guide" 21 ------- 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 Manager's "Survival Guide" ------- 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 Manager's "Survival Guide" ------- 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. Manager's "Survival Guide" ------- 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 Manager's "Survival Guide" 31 ------- 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. Manager's "Survival Guide" 32 ------- 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. Manager's "Survival Guide" 33 ------- 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 Manager's "Survival Guide" ¦34 ------- 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 Manager's "Survival Guide" 35 ------- 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 Manager's "Survival Guide" 3b" ------- 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 Manager's "Survival Guide" 37 ------- 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 Manager's "Survival Guide" 3P ------- 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. Manager's "Survival Guide" 39 ------- 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 Manager's "Survival Guide" 40 ------- 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 Manager's "Survival Guide" 41 ------- This Page Intentionally Left Blank Manager's "Survival Guide" 42 ------- 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. Manager's "Survival Guide" 43 ------- 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. Manager's "Survival Guide" 44 ------- 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. Manager's "Survival Guide" 45 ------- 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 Manager's "Survival Guide" 46 ------- 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. Manager's "Survival Guide" 47 ------- 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 Manager's "Survival Guide" 48 ------- 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 Manager's "Survival Guide" 49 ------- This Page Intentionally Left Blank Manager's "Survival Guide" 50 ------- 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 Manager's "Survival Guide" 51 ------- 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. Let's be. practical r+ nvoives Voo much paper war cuncf 8 Li Manager's "Survival Guide" ------- 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). Manager's "Survival Guide" 53 ------- This Page Intentionally Left Blank Manager's "Survival Guide" ------- 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. Manager's "Sun/ival Guide" 55 ------- This Page Intentionally Left Blank Manager's "Survival Guide" 56 ------- 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. Manager's "Survival Guide" 57 ------- 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. Manager's "Survival Guide" 56 ------- 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. Manager's "Survival Guide" 59 ------- This Page Intentionally Left Blank Manager's "Survival Guide" 60 ------- 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 Manager's "Survival Guide" 67 ------- 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. Manager's "Survival Guide" 62 ------- 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 Manager's "Survival Guide" 63 ------- 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 Manager's "Survival Guide" 64 ------- 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 Manager's "Survival Guide" 65 ' ------- 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. Manager's "Survival Guideu 65 ------- 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 Menager's "Survival Guide" 67 ------- 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." Manager's "Survival Guide" 6c ------- 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." Manager's "Survival Guide" 69 ------- This Page Intentionally Lett Blank Manager's "Survival Guide" ------- 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. Manager's "Survival Guide" 71 ------- 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 Manager's "Survival Guide" 72 ------- 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. Manager's "Survival Guide" 73 ------- 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. Manager's "Survival Guide" 74 ------- 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. Manager's "Survival Guide" 75 ------- 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. Manager's "Survival Guide" 76 ------- 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. Manager's "Survival Guide" 71 ------- 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 Manager's "Sun/ival Guide" 78 ------- 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. Manager's "Survival Guide" 79 ------- 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. Manager's "Survival Guide" 80 ------- 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 Manager's "Survival Guide" 81 ------- 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 Manager's "Survival Guide" 82 ------- 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. Manager's "Survival Guide" 83 ------- 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. Manager's "Survival Guide" 84 ------- 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. Manager's "Survival Guide" 85 ------- i nis page inxenuonaiiy uen manic Manager's "Survival Guide" 86 ------- 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. Manager's "Survival Gjide" 87 ------- This Page Intentionally Left Blank Manager's "Survival Guide" " UO ------- 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 Manager's "Survival Guide" 89 ------- 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. Manager's "Survival Guide" i ------- 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. Manager's "Survival Guide" 97 ------- 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. Manager's "Survival Guide" 92 ------- (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. Manager's "Survival Guide" 93 ------- 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 Manager's "Survival Guide" ------- 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 Manager's "Sun/ival Guide" 95 ------- 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. Manager's "Survival Guide" ------- 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 Manager's "Survival Guide" .97 ------- 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 Manager's "Sun/ival Guide" ------- 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. Manager's "Survival Guide" ------- 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. Manager's "Survival Guide" ------- 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 Manager's "Survival Guide" 101 ------- 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 Manager's "Survival Guide" ------- 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. Manager's "Survival Guide" 102 ------- This Page Intentionally Left Blank Manager's "Survival Guide" ------- 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 Manager's "Survival Guide" :05 ------- 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 Manager's "Survival Guide" 106 ------- 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 Manager's "Survival Guide" :o~ ------- /Captain, ortt'A \rnal a pa_nc»l! J r in i» I 1 ^ I f Strqeant. Cr^l- f^a. a panc.il.' Co/poraJ« a. pencil.' f A?l 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). Manager's "Survival Guide" 10S ------- 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. Manager's "Survival Guide" 709 ------- . 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. Manager's "Survival Guide" ------- 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. Manager's "Survival Guide" 111 ------- 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" Manager's "Survival Guide" 2 ------- APPENDIX B ADD YOUR OWN REFERENCES Manager's "Survival Guide" 113 ------- |