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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION II
date: February 11, 1994
subject; Region IL's Streamlining Plan
Sbv
from: William J. Muszynski, P.E.
Acting, Regional Administrator
(W
to: Carol M. Browner
Administrator
I am pleased to transmit Region II's plan for meeting the streamlining goals
that are identified for the Agency in "Improving Environmental Protection
through Empowered Employees". Region II views streamlining as an
opportunity to re-examine its priorities, to develop innovative approaches to
achieving its mission, to restructure its roles and operations to make the
best use of resources, and to improve the quality of service and programs
delivered to our customers. Our plan is the product of a cooperative,
interactive process that included extensive employee involvement and
yielded many creative ideas.
Our plan presents an integrated, evolutionary approach that will enable us
to take advantage of opportunities to make progress toward streamlining
goals while we map a longer term strategy. It sets forth guiding principles
and processes for achieving a new, optimal organizational framework based
on careful research and analysis of the best ways to accomplish our mission.
Our key findings and recommendations on how to meet the streamlining
goals are contained in the Executive Summary.
I am proud of the efforts put foith by everyone in the Region who was
involved in developing this plan, especially the members of the Regional
Streamlining Task Force who displayed remarkable enthusiasm, creativity
and dedication; the employees who provided logistical and technical
support to the Task Force; the members of the Region's Senior Leadership
Team who provided*support and counsel and helped to craft the plan; and,
the Office of Policy and Management team that drafted and revised it.
I would welcome the opportunity to discuss our plan with you, or members
of your staff, at your convenience. I am ready to provide any further
information that you may require.
REGION II FORM 1320-1 (9/85)
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TABLE OF CONTENTS
Page
TRANSMITTAL MEMORANDUM
FOREWORD i
EXECUTIVE SUMMARY iii
Chapter 1. INTRODUCTION TO THE PLAN 1
Chapter 2. HOW THE PLAN WAS DEVELOPED 3
Chapter 3. PROFILE OF REGION ITS WORKFORCE 9
Chapter 4. FINDINGS AND RECOMMENDATIONS 11
A. Reducing the Number of Employees in Grade 14
and Above Positions by 1995 13
B. Flattening the Organizational Structure by Moving
toward the 1:11 Supervisor to Staff Ratio by 1998/
Creating a Structure That Will Support Achievement
of Agency and Regional Goals 17
C. Increasing Diversity in the Workforce 31
D. Increasing the Authority, Empowerment and Accountability
of Regional Employees 39
E. Improving Work Processes and Systems and Incorporating
National Performance Review Recommendations
into Agency and Regional Operations 47
Chapter 5. IMPACTS AND BARRIERS TO STREAMLINING 51
Chapter 6. RE-INVESTING OUR SAVINGS 55
Chapter 7. IMPLEMENTATION PLAN 57
Appendices:,
A: Executive Summary of the Streamlining Task Force Final Report 69
B: Recommendations of the Regional Streamlining Task Force 73
C: Demographic Profile of Region II's Workforce S9
D: National Performance Review recommendations that pertain to EPA . . . . l>7
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FOREWORD
Region II expresses appreciation for the creativity,
enthusiasm, dedication and perseverance displayed by the
members of the Regional Streamlining Task Force and their
supporting cast of facilitators:
Co-Chairs
Kathleen Callahan
Acting Deputy Regional Administrator
Maria Stanco, Vice Chair
Women in Science and Engineering
Air and Waste Management Division
Wanda Ayala
Dan Manasia
Paul Giardina
Caribbean Field Office
Ivan Guzman
Emergency and Remedial Response Division
Ronald Borsellino
Theresa Doherty
Rocco Grassi
Environmental Services Division
John Birri
Linda Mauel
Richard Spear
External Programs Division
Melissa Jaeger
Jeane Rosianski
Wanda Vasquez
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Office of Policy and Management
Roch Baamonde
Marie Bidetti
Marie Jenet
Office of Regional Counsel
Patricia Badalamenti
Warren Llewellyn
Flaire Mills
Water Management Division
Darnelle Gillisslee
Dore La Posta
Paul Sacker
Special Emphasis Programs
Dana Williams, Cultural Diversity Manager
Terry Wesley, Black Employment Program Manager
Julio Vasquez, Hispanic Employment Program Manager
Maria Stanco, Vice Chair, Women in Science and Engineering
Tracye Smith, Chair, Secretarial Advisory Council
Facilitation Team
Rich Bloch
Judi Brown
Gerald DeGaetano
Mary Anne Rosa
Alan Sommerman
Gloria Sosa
Marina Stefanidis
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EXECUTIVE SUMMARY
Region II views streamlining as an opportunity to re-examine its priorities, to
develop innovative approaches to achieving its mission, to restructure its roles and
operations to make the best use of resources, and to improve the quality of service and
programs delivered to our customers. Region II's streamlining plan presents an
integrated, evolutionary approach that will enable us to take advantage of opportunities
for progress toward our streamlining goals while we map a longer term strategy.
Region IPs plan is the product of a cooperative, interactive process that included
the Regional Senior Leadership Team, a Regional Streamlining Task Force, and all
Regional employees, whose activities were linked by aggressive outreach and
communications efforts. The findings, recommendations and conclusions in the plan are
based on analysis of the Region's workforce profile and other statistical data, as well as
input from the Regional Senior Leadership Team, the Regional Streamlining Task
Force, and all employees who offered suggestions and comments and took part in focus
groups. The plan addresses each of the major goals associated with streamlining:
o Reducing the Number of Employees in Grade 14 and Above Positions by
1995
To meet the goal of reducing the number of employees in Grade 14 and above
positions by September 30, 1995, Region II needs to eliminate three Grade 14 and
above positions. The Region believes it can meet the target by continuing to implement
controls on Grade 14 and above positions; however, the target of three does not portray
the real impact of the reductions on the Region. In addition, there currently are 9 other
positions that were candidates for upgrading affected by the reduction.
o Flattening the Organizational Structure bv Moving toward the 1:11
Supervisor to Staff Ratio/Creating a Structure That Will Support
Achievement of Agency and Regional Goals
Meeting the goal of reducing the supervisor/staff ratio by one-half within five
years is a more difficult task. Based on our analysis of attrition rates and the number of
managers who are eligible for optional retirement, we have concluded that, at best, les>
than one half of the reduction called for by September 30, 1998 can be achieved under
current circumstances.
Although attritiofl might increase if incentives were available, an early out
program may not be particularly effective in Region II because of the relatively young
age of Region II's managers and the restrictive circumstances under which early
retirements are granted. The Region also believes that the Agency is underestimating
its supervisory burden and needs to develop a formula and an accountability system thai
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recognize other than on-board EPA employees such as SEEPs and potential changes in
staffing levels that will occur over the next five years.
To achieve the target supervisor/staff ratios, Region II believes that a multi-tieretl
approach focused on voluntary actions is needed. The tiers are:
o developing an incentives program to encourage voluntary movement
out of supervisory positions;
o applying position management guidelines as vacancies occur in the
management ranks to move toward a flatter organization;
o taking a comprehensive look at organizational redesign and re-
engineering based on streamlining principles and Agency guidance;
and,
o assuring employees who do volunteer to move from supervisory to
non-supervisory positions that their jobs are meaningful, defensible,
and are at the same grade and pay.
o Increasing Diversity in the Workforce
Region II has made significant progress toward a diverse workforce among
positions in the management feeder group (GS-12 and 13). Gains have been slower
among the Region's management cadre because of the very low rate of turnover in
higher-graded management positions. We are concerned that constraints on moving
people from the feeder group into the management ranks will have an adverse effect on
the progress toward achieving diversity. Our commitment to diversity in our workforce
is not weakened; we will meet the challenge by being more creative in finding
opportunities to increase diversity. We will build on the approaches that we have found
to be most effective thus far. Among these are: aggressive recruitment to meet
affirmative employment goals; a broad range of developmental opportunities for
employees; management accountability; outreach efforts to institutions such as the
University of Puerto Rico at Mayaguez under the Academic Relations Program that arc
a source of help in meeting diversity goals; and training on diversity for all employees.
o Increasing the Authority. Empowerment and Accountability of Regional
Employees
Increasing employee authority, empowerment and accountability is an essential
component of the streamlining process. If the Region is to achieve its goals, we need t<>
change not only our supervisor/staff ratio but the way we work as well. Two important
aspects of changing the way we work are: transforming the Region's culture to enhance
support for increased employee empowerment and accountability, and delegating and
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decentralizing authority. The Region will look at how it must function differently in the
future so that employees can assume new authorities and responsibility. We will also
undertake a systematic review of all Regional delegations that have potential for
redelegation. Our employees will also require training that improves their ability to
work in teams and to exercise new authorities responsibly in a streamlined organization.
o Improving Work Processes and Systems/Incorporating National Performance
Review Recommendations into Agency and Regional Operations
The Region is committed to achieving continuous improvements in work processes
and systems and to pursuing National Performance Review recommendations such as
consistently and routinely integrating Environmental Justice into our planning, policy-
making, day-to-day operations and hiring efforts. We will focus on developing Regional
management support for the dedication of resources to streamlining efforts and their
importance to the Region. We will identify and sponsor additional Quality Action
Teams or other work groups to address areas identified as ripe for streamlining and
implementation of the NPR recommendations in Region II.
During the development of the Streamlining Plan, Region II employees identified
a number of positive outcomes that they hoped would result from the streamlining
process. They are enthusiastic about changes that promise increased opportunities for
decision making at lower levels, greater job satisfaction, enhanced accountability and
empowerment, and in general, better management within a more efficient organization.
However, change can have significant effects on employee morale and productivity. The
sentiments expressed by staff at all levels indicated that there is a more pronounced
concern about avoiding adverse outcomes than a hope of achieving positive ones.
Despite assurances to the contrary, Region II employees are concerned that they will be
subject to layoffs, transfer to undesirable positions, demotions, decreases in salary,
outright dismissal or some combination of these. This suggests that while employees are
aware of the potential benefits of organizational change, they are more concerned aboui
other possible repercussions. It also suggests that the Region and the Agency will need
to address these concerns as they develop guidance and take actions to meet
streamlining goals.
Region II believes that streamlining and changing the way we work can yield
substantial benefits. With streamlined work processes and efficient new technologies,
we can enable our employees to focus more of their energies on achieving the
environmental goals of the Agency. We plan to undertake our Regional streamlining
effort with the same cc&ativity, dedication and perseverance that were displayed by all
who contributed to the development of this plan. We look forward to continuing
guidance, leadership and support from the Agency's Senior Leadership Council as we re-
invent Region II.
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Chapter 1
INTRODUCTION TO THE PLAN
In response to the Agency's November 22, 1993 Guidance for Streamlining Plans.
"Re-inventing Region II: A Path to Streamlining" describes how the Region intends to
meet the goals described in the EPA plan and the ideas that we are advancing to help
the Agency meet its overall goals.
Chapter 2 is a description of the cooperative, interactive process that the Region
employed to develop the Plan. It outlines how the Region encouraged broad
participation by all employees in the process and the success we achieved through our
efforts. Chapter 3 is a profile of Region II's workforce.
Chapter 4, Findings and Recommendations, has five sections that address each of
the major goals associated with streamlining:
A. Reducing the Number of Employees in Grade 14 and Above
Positions by 1995
B. Flattening the Organizational Structure by Moving toward the 1:11
Supervisor to Staff Ratio by 1998/Creating a Structure That Will
Support Achievement of Agency and Regional Goals
C. Increasing Diversity in the Workforce
D. Increasing the Authority, Empowerment and Accountability of
Regional Employees
E. Improving Work Processes and Systems/Incorporating National
Performance Review Recommendations into Agency and Regional
Operations
Each section of Chapter 4 includes the following subheadings:
o Background - a statement of the goal or target
o Findings - an analysis of the current status in Region II
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o Recommendations - a presentation of actions the Region has been and will
be taking and recommendations for the Region/Agency to meet the goals
and targets
o Actions Required for Implementation - a summary of the steps that
need to be taken to achieve our targets and goals
o Measures - a description of the items that will be monitored continuously
to measure progress toward achieving targets and goals.
Chapter 5, Impacts and Barriers, is a discussion of the potential effects of
streamlining on our employees and potential impediments to progress.
Chapter 6, Re-Investments, is a discussion of how the Region intends to use the
savings that we anticipate will be realized from streamlining.
Chapter 7, Implementation Plan, summarizes the actions required to implement
the recommendations set forth in Chapter 4, target dates for these actions, and the
measures the Region will use to track progress. The actions required, target dates, and
measures will be reported periodically to the Acting Regional Administrator.
The appendices to this plan include:
A. The Executive Summary of the Regional Streamlining Task Force
Final Report;
B. Charts summarizing the recommendations presented by the
Regional Streamlining Task Force to the Acting Regional
Administrator;
C. Charts displaying the demographic profile of Region II's workforce;
and,
D. Charts summarizing the National Performance Review
recommendations that pertain to EPA.
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Chapter 2
HOW THE PLAN WAS DEVELOPED
Region II's streamlining plan is the product of a cooperative, interactive process
with participation by three groups whose activities were linked by aggressive outreach
and communications efforts, depicted in Figure 1 on Page 7. The groups are:
o the Regional Senior Leadership Team,
o a Regional Streamlining Task Force, and
o all Regional employees who were actively involved and participated
through our Regional Local Area Network (LAN) and through
direct communication with Task Force members.
The process began with a series of all-hands meetings in New York and in Edison,
New Jersey, and a conference call with the Caribbean Field Office in November 1993
during which the Acting Regional Administrator outlined the Agency's streamlining
goals and invited all employees to contribute their time and ideas to the development of
this plan. He also encouraged all employees to offer comments and suggestions either
through the suggestion box set up on the Regional LAN or through contact with Task
Force members. The American Federation of Government Employees National Council
President was apprised of and will be kept current on our streamlining initiatives.
Regional Senior Leadership Team Planning Efforts
The Regional Senior Leadership Team1 (RSLT) participated in several day-lony
sessions on streamlining during which they developed the planning process that the
Region undertook and provided advice and counsel to the Acting Regional
1 The Regional Senior Leadership Team is composed of William J. Muszynski, Acting Regional
Administrator; Kathleen Callahan, Acting Deputy Regional Administrator; Herb Barrack, Assistant Region .i
Administrator for Policy and Management; Conrad Simon, Director, Air and Waste Management Division.
Douglas Blazey, Regional Counsel; Richard Caspe, Director, Water Management Division; Barbara Mci/i^r
Director, Environmental Services Division; George Pavlou, Acting Director, Emergency and Remedial
Response Division; James Marshall, Director, External Programs Division; and, Carl Soderberg, Director,
Caribbean Field Office.
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Administrator. Based on information about Region II's current ratio of supervisors to
staff, the percentage of Grade 14 and above positions by division, and workforce
diversity, they analyzed and discussed the steps necessary to reach the desired ratio and
to examine and develop possible future organizational options.
The RSLT used a variety of methods to keep their employees informed and
engaged in the process. Many held meetings with staff to brief them on how the process
might affect them and/or sponsored focus groups to help identify employees' questions
and concerns.
The Task Force
A Regional Streamlining Task Force was established by the Acting Regional
Administrator to develop recommendations on how the Region could address the
streamlining goals identified in the Agency's plan, "Improving Environmental Protection
through Empowered Employees". The Acting Regional Administrator issued a
memorandum to all employees inviting them to express interest in participating on the
Task Force. Members were selected by the Acting Regional Administrator based on
nominations made by the Division Directors.
The Task Force included managers and technical and administrative staff
members from every Division including the Caribbean Field Office. It also had
representatives from each Special Emphasis Program. The Task Force was co-chaired
by the Acting Deputy Regional Administrator and the vice-Chair of our Regional
Women in Science and Engineering (WISE) Council.
The Task Force established four subgroups to develop recommendations in
specific areas. One Diversity Representative from the Special Emphasis Programs
participated in each subgroup, and each subgroup considered diversity issues in
formulating its recommendations. The four subgroups were:
o Establishing a 1:11 supervisor/staff ratio and an optimal organization
structure
o Delegation and decentralization
o Empowerment and accountability
o Improvement of work processes and implementation of the National
Performance Review recommendations
The Task Force reported frequently to all employees through the Regional LAN.
and encouraged them to pass on suggestions or comments to the members of the Task
Force, to the LAN suggestion boxes or to the communication representatives who were
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designated for each subgroup. Representatives of the Task Force also met at least
weekly with senior managers to brief them on the progress made and to exchange ideas.
The Office of Policy and Management provided technical and statistical support
to the Task Force as needed. All Divisions also participated by providing advice on
programs and work processes. In addition, the Task Force deliberations were aided bv a
team of four facilitators.
The Task Force's final report was presented to the Acting Regional Administrator
on January 26, 1994 for use in developing the Regional Streamlining Plan. Regional
Senior Leadership Team members met with the members of the Task Force on January
31 for a briefing on the final report, and the report was made available to all employees
via the LAN. The Region's Streamlining Plan was then drafted by a work group
composed of managers from the Office of Policy and Management, using statistical data,
the Task Force Report, and input from the Regional Senior Leadership Team. The
draft plan was reviewed by the Task Force and Regional Senior Leadership Team, and
their comments and suggestions were used in revising the plan for submittal to
Headquarters. The plan has been made available to all employees via the Regional
LAN.
Appendix A is the Executive Summary of the Task Force's Final Report.
Appendix B is a chart that summarizes the recommendations presented by the Task
Force to the Acting Regional Administrator. The Acting Regional Administrator will
review each recommendation in the Task Force's Final Report and provide feedback to
the Region on the recommendations.
Active Employee Involvement
Employee involvement and participation were sought throughout the process
through all-hands meetings at the Regional and divisional levels, Regional and divisional
focus group meetings aimed at employees concerned with particular aspects of the
streamlining initiative, and anonymous LAN suggestion boxes. The results of the focu^
group meetings and suggestions were provided to the task force for consideration during
their deliberations. A computer file of streamlining documents was set up on the LAN.
background documents, the Task Force's final report, and this plan are accessible to all
employees.
Regional focus groups were held for secretarial and administrative staff,
managers, and, for those concerned with diversity. Three facilitators assisted the
Regional focus groups. The focus groups were well received, with extensive
participation by staff. They provided additional opportunities for staff to express
concerns with the streamlining process in general, and they pointed out a real need for
ongoing involvement by all employees in the development and implementation of the
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Region's Streamlining Plan. Other focus groups were convened at the division level and
similar findings resulted.
The Acting Regional Administrator will hold a series of follow-up meetings for all
Regional employees to discuss the Streamlining Plan.
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Development of Region II
Streamlining Plan
Regional Administrator
convenes all-hands |
meetings in NY & Edison !
Draft
Organizational
Plans Developed
Streamlining
Task Force
Established
Employee
' Suggestions
via LAN/Boxes
Four SubGroups
Formed each
inc. Diversity Rep
/
f-/
Task Force Report i
Provided to RA & !
all Employees
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Chapter 3
PROFILE OF REGION IPS WORKFORCE
When compared to the Federal Government-wide statistics in EPA Workforce
Snapshots prepared by the Office of Human Resources Management in November 19()2.
Region II's employees are a diverse, more educated, technically skilled, and
comparatively young workforce. Of the nearly 900 employees currently on-board:
o Seventy-three percent had at least a bachelor's degree when hired and twenty-four
percent had a masters degree. A number of employees are currently pursuing or
have received advanced degrees since joining the workforce.
o The average age is 37 and the average length of service is 7.4 years. Among the
Region's 134 managers the figures are higher with an average age of 44 and
average length of service of 15 years. This reflects the very low turnover rates in
our managerial ranks.
o Fifty-seven percent of our employees occupy engineering, scientific or other
technical positions, consistent with the highly technical nature of the Agency's
mission. Twenty-eight percent are in administrative or clerical jobs and the
remaining fifteen percent are managers.
o By gender, fifty-five percent of the Region is male and forty-five percent is
female. Among managers the percentage of women is eighteen percent; within
the managerial feeder groups at the GS-12/13 grades, women constitute thirtv-fi\e
percent; and within the GS-1 through 11 grade levels, they are seventy-four
percent of the total.
o Minority employees, as a percentage of the total, occupy sixty-three percent of the
GS-1 through 11 positions, twenty-five percent of the managerial feeder pool at
the GS-12/13 levels, and thirteen percent of the region's 134 managerial positions
Clearly, the demographics of our Regional staff will have major implications for
our ability to achieve the Agency's streamlining goals, especially with respect to the
prospects for retirements and early-outs.
Appendix C contains workforce profile charts depicting the characteristics of the
Region's workforce. It should be noted that Office of Regional Counsel staff, who
number 115, are not included in the profile information in this plan because they are
included as part of the Office of Enforcement and Compliance Assurance.
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Chapter 4
FINDINGS AND RECOMMENDATIONS
Chapter 4 has five sections that address each of the major goals associated with
streamlining the Agency:
A. Reducing the Number of Employees in Grade 14 and Above
Positions by 1995
B. Flattening the Organizational Structure by Moving toward the 1:11
Supervisor to Staff Ratio/Creating a Structure That Will Support
Achievement of Agency and Regional Goals
C. Increasing Diversity in the Workforce
D. Increasing the Authority, Empowerment and Accountability of
Regional Employees
E. Improving Work Processes and Systems/Incorporating National
Performance Review Recommendations into Agency and Regional
Operations
Each section of Chapter 4 includes the following subheadings:
o Background - a statement of goals and targets
o Findings - an analysis of the current status in Region II
o Recommendations - a presentation of actions the Region has been or will
be taking and recommendations for the Region/Agency to meet the goals
and targets
o Actions Required for Implementation - a summary of the steps that
need to be taken to achieve our targets and goals
o Measures =- a description of the items that will be monitored to measure
progress toward achieving goals and targets
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Chapter 4
Section A
Reducing the Number of Employees in Grade 14 and Above Positions
by September 30. 1995
Background
Executive Order 12839 requires federal agencies to eliminate four percent2 of
their positions (measured on an FTE basis) by September 30, 1995. At least ten percent
of the reduction is to come from positions at Grades GM/GS-14 through SES or the
equivalent. Region II currently has 109 permanent full-time employees in Grades 14
and above.
To achieve the reduction target, the Region needs to eliminate three Grade 14
and above positions over the next 20 months. This number does not portray the real
impact of the reductions on the Region. As discussed on Page 14, as many as 9
positions that were candidates for upgrading are also affected.
Findings
Executive Order 12839 specifies that positions will be vacated through attrition or
early out programs. Region II has experienced very low rates of attrition recently.
Turnover began to decline in 1990 as the result of a general economic recession. It
declined further when the 8 percent pay geographical adjustment became effective in
January 1991. Prior to these developments, Region II had the highest turnover rate in
the Agency for several years running and was working assiduously to improve its
retention rate. Separations of permanent full-time employees Grade 14 and above
(excluding non-career SES) for the past three fiscal years and to date for FY'94 are
shown in Table 1 on Page 14.
2 It should be noted that EPA has been directed to reduce its FTE levels by 3.5 percent (not
by 4 percent) by September 30, 1995, pursuant to the President's FY'95 budget request. The
Agency should explore whether this impacts the number of GM/GS-14 through SES positions
that must be eliminated-
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Table 1
SEPARATIONS OF GRADE 14 AND ABOVE EMPLOYEES
(EXCLUDING ATTORNEYS AND NON-CAREER SES)
FY
SES
GM-15
GS-15
GM-14
GS-14
TOTAL
91
0
0
0
1
0
1
92
0
1
0
0
0
1
93
0
0
0
0
0
0
94 (YTD)
0
2
0
0
0
2
TOTAL
0
3
0
1
0
4
Loss rate
= 1.2 position/year
Despite the low rate of attrition (1.2 positions per year based on recent
experience), the Region anticipates that it will realize a reduction of the three positions
required to achieve the target of 106 Grade 14 and above positions by September 30,
1995 through attrition alone. The target of three positions is low enough to be
achievable. There are, however, continuing concerns about positions that are candidates
for upgrading.
Effects on Future Upgrades and Promotions
Region II's target requires a reduction of three positions. However, this number
does not portray the real impact on the Region because it does not account for potential
opportunities to upgrade GM/GS-13 employees to GM/GS-14.
In August 1993 there were 6 requests in the Human Resources Branch to upgrade
GM-13 section chiefs to GM-14. There were also 3 requests to upgrade GM-14 branch
chiefs over straight-lined branches to GM-15. Because all three branches have assistant
branch chiefs, there was a potential for promoting the three assistants from GM-13 to
GM-14. The Region did not act on these requests because a Regional freeze was
imposed on the establishment of new high-grade positions.
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Had all upgrades from GM/GS-13 to GM/GS-14 been approved (including the 3
assistant branch chiefs), 9 new high-grade positions would have been created. Thus,
implementation of the Executive Order has affected as many as 12 existing positions in
Region II.
Recommendations
Region II's August 1993 "Plan for Reductions Required under Executive Order
12839" lays out a systematic approach for achieving the required reductions with
provisions for assuring the continued availability of adequate management resources to
accomplish Agency programs. Under the August plan, interim controls on positions at
Grade 14 and above were adopted and implemented. The controls were modified and
the current controls are represented in Figure 1.
Figure 1
Position Controls on Grade 14 and Above Positions
o All permanent promotions from GM/GS-13 to
GM/GS-14 are frozen.
o No additional positions may be established or
selections made on a permanent basis for vacant
positions at Grade 14 and above.
o Reclassifications and/or permanent promotions from
GM-14 to GM-15 are frozen.
o On a case-by-case basis, vacant positions may be announced
as temporaiy promotions at Grades 14 and above.
Region II will continue to maintain these controls on all Grade 14 and above
positions. In addition, divisional reduction goals are being assigned and will be tracked
by the Regional Senior Leadership Team.
Conversion of selected managerial positions to permanent part-time where
incumbents voluntarily elect this option is another measure that may help us to meet the
reduction targets and reduce salary costs. The Region will consider requests to converi
to permanent part-time status on an individual basis. Such conversions would help the
Region reach the target number since only permanent full-time positions are counted.
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Actions Required for Implementation
o Eliminate three Grade 14 and above positions over the next 20 months.
o Continue to implement controls on positions at Grades 14 and above (Figure 1).
o Consider requests to convert selected managerial positions to permanent part-time
where incumbents voluntarily elect this option.
o Assign and track divisional reduction goals
Measures
The Region will continuously monitor the number of Grade 14 and above
positions through established internal controls in the Region's Position Management
Control System. In addition, the number of Grade 14 and above positions will be an
element in the Region's periodic report to the Acting Regional Administrator on the
progress of streamlining in Region II. The Region will continue its policy of promoting
people into Grade 14 and above positions only on a temporary basis until our target of
106 positions is achieved.
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Chapter 4
Section B
Flattening the Organizational Structure by Moving toward the 1:11
Supervisor to Staff Ratio/Creating a Structure That Will Support
Achievement of Agency and Regional Goals
Background
The Executive Memorandum on "Streamlining the Bureaucracy", dated
September 11, 1993, calls for a reduction of 252,000 federal civilian employees by 1999.
The memorandum also calls for a plan for reducing the ratio of managers and
supervisors to other staff, setting a goal of reducing the ratio by one-half within five
years (by September 30, 1998). The Agency's Guidance for Streamlining Plans, dated
November 22, 1993, indicates that streamlining plans should be developed without
reliance on measures that result in adverse actions to employees.
Findings
Region II (excluding the Office of Regional Counsel) currently has 134
supervisors and 749 other staff on board, a-ratio of 1:5.6. In order to achieve the target
ratio of 1:11 in the Agency's streamlining plan, as Table 2 indicates, based on staffing
levels as of January 1994, the Region will have to reduce the number of supervisors and
managers from 134 to 74, a total of 60 positions.
Table 2
ON-BOARD
JANUARY 1994
TARGET3
SEPTEMBER 1998
SUPERVISORS
134
74
STAFF
749
809
SUPERVISOR TO STAFF
RATIO
1:5.6
1:11
•The September 1998 target number assumes that Region II maintains the same overall on-
board staffing level of 883 permanent full-time positions.
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By focusing only on EPA staff on board, the ratio does not reflect the total
demand on supervisors for oversight of work performed by other personnel such as
Senior Environmental Employment Program (SEEP) staff, volunteers, and contractors.
Region II has 45 SEEP staff and approximately 73 contractor staff who perform
functions such as computer operations, operation of the mailroom, maintenance of the
Edison facility, operation of the Regional library, analytical laboratory services, and the
Superfund file room.
The Office of Personnel Management's General Schedule Supervisory Guide
dated April 1993 recognizes that work performed by other than Federal employees (e.g.,
by contractors, volunteers, assigned military or others) may contribute to the difficulty
and complexity of carrying out supervisory duties. The Guide provides that such work .
may be credited in determining the appropriate grade level for a supervisory position
when the supervisor has responsibility for technical planning or oversight of the work.
The Region believes that the added difficulty and complexity of supervisory work
attributable to oversight of contractors and SEEP personnel should likewise be taken
into account in determining the appropriate span of control, as measured by the
supervisor to staff ratio.
The 1:11 ratio also does not reflect what would happen if Region II were to fill all
positions up to our authorized FTE ceiling and to fully staff non-ceiling positions. At
our current authorized workyear ceiling, the Region could support an estimated 40
additional positions.
As previously discussed, Region II has experienced very low rates of attrition in
Grade 14 and above positions since the onset of a general economic recession in 1990
and the implementation of the 8 percent pilot geographical pay adjustment that took
effect in the New York/New Jersey Metropolitan area in January 1991. CNote: There
is a potential that the recent extension of locality pay to Headquarters and other
Regions and to the Senior Executive Service mav have an effect on attrition rates
similar to that experienced in Region II.)
Table 3 on Page 19 displays separations of permanent full-time employees in
Grade 14 and above positions and in GM-13 positions. It covers the past three fiscal
years and year-to-date FY'94.
18
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Table 3
MANAGEMENT LOSSES
(EXCLUDING SUPERVISORY ATTORNEYS AND NON-CAREER SES)
FY
SES
GM
TOTAL
15
14
13
91
0
0
1
2
3
92
0
1
0
1
2
93
0
0
0
2
2
94 (YTD)
0
2
0
0
2
TOTAL
0
3
1
5
9
Loss rate = 2.8 position/year
Projected losses by 9/30/98 (at current rate) = 13 positions
Although the attrition rate for Grade 13 managers/supervisors is higher than the
rate for Grade 14 and above, if attrition rates remain the same over the next five years.
the Region could not expect to achieve its target reductions. The Region estimates thai
it will lose only 13 supervisory employees by attrition by September 30, 1998. This
number includes the reduction of three positions at Grade 14 and above required to
meet the Regional target of 106 Grade 14 and above positions by September 30, 1995.
Table 4 on Page 20 displays the number of Region II employees in Grade 14 and
above positions and in Grade 13 managerial positions who are eligible for optional and
early retirement. The figures presented for each year are cumulative.
19
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Table 4
Retirement Eligibility of Supervisors
(Excluding Supervisory-Attorneys and Non-Career SES)
Eligible
9/30/94
9/30/95
9/30/96
9/30/97
9/30/98
Optional
3
6
9
13
15
Early Out
27
27
40
40
46
FERS lOyr
0
0
0
0
1
TOTAL I 30
33
49
53
62
Based on the assumption that attrition rates continue unchanged and that every
person eligible for optional retirement leaves the Agency, less than one-half of the
reduction called for by September 30, 1998 can be achieved. Even if everyone who is
eligible for optional or early retirements left, the Region would just meet the target.
This is not a likely scenario. Thus, under current circumstances the Region would not
meet the targets through attrition and/or retirements alone even if vacant positions are
not filled.
Although attrition might increase if incentives were available, the prospect of an
early out program may not be particularly effective because of the highly restrictive
circumstances under which early outs may be granted. An employee is eligible at age 50
with 20 years of service or at any age with 25 years of service. Moreover, given the
demographics of Region II (the average manager is 44 years old), early out authority
would probably have a minimal effect.
Recommendations
The Region believes that the Agency is underestimating its supervisory burden,
and that it should develop a formula and accountability systems that acknowledge the
added difficulty and complexity of supervisory work attributable to other than on-board
Federal employees. The formula would also need to account for potential changes in
staffing levels that will occur over the next five years. We also believe that the
development of a formula should include an analysis of the factors that affect
supervisor/staff ratios in technical areas.
In order to achieve the target ratios, other options will be needed. Keeping in
mind the Administrator's guiding principle of avoiding adverse actions to employees,
20
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Region II believes the most effective way to do this is through a multi-tiered approach
focused on voluntary actions that includes:
o developing an incentives program to encourage voluntary movement
out of supervisory positions;
o applying interim position management guidelines as vacancies occur
in the affected areas;
o ensuring a comprehensive look at organizational redesign and re-
engineering based on streamlining principles and Agency guidance;
and,
o assuring all employees who do volunteer to move from supervisory
to non-supervisory positions that their jobs are meaningful,
defensible, and are at the same grade and pay.
In developing our approaches, we are using the following definitions:
o voluntary actions are those made at the employee's request or
agreed to by the employee.
o involuntary actions are actions such as a directed reassignment from
a supervisory position to a non-supervisory position at the same
grade and pay which has not been requested or agreed to by the
employee.
o adverse actions are layoffs or losses of grade or pay which are not
done at the employee's request. Such actions are taken according to
a set of formally prescribed procedures.
Incentives Program
Region II's Streamlining Task Force and management focus group identified a
number of potential incentives to help achieve the 1:11 supervisor to staff ratio. They
include incentives to encourage voluntary managerial re-assignment to non-supervisory
positions, retirements, early outs and the expansion of alternative opportunities for all
staff potentially affected by a re-organization. The Task Force recognized that the
Region must pursue a range of actions to:
o ..increase attrition rates of current supervisory/ managerial
incumbents and
21
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o encourage present incumbents of supervisory/managerial positions
to voluntarily accept re-assignment to non-supervisory positions
consistent with their expertise and with grade and pay retention.
They also recognized that as organizational units are reduced through
consolidation, the reduction will inevitably have an impact upon secretarial/
administrative support staff serving in those units and on scientific and technical staff
whose movement into the management ranks and higher-graded positions is affected.
As part of its analysis, the Task Force undertook a force field analysis4 to identify
the barriers to achieving the 1:11 goal. The analysis identified a number of barriers that
would have to be overcome to increase the chances of success. Some of the barriers
identified were structural or mission-related:
o a substantially higher ratio than currently exists may not be
appropriate for a highly technical agency such as EPA; and
o a decreased supervisor-to-employee ratio may lead to a decline in
internal controls that could threaten the quality of the Agency's
work product and further erode our ability to achieve our mandates.
Other barriers identified by the Task Force are related to human resources issues:
o difficulties in preserving diversity of managerial work force;
o the onset of morale problems within current managerial/
supervisory ranks due to perceived threats of adverse actions if
reductions cannot be voluntarily achieved; and,
o the onset of morale problems within staff ranks as longer term
promotional opportunities are reduced, leading to increased
turnover and loss of highest performing and most promising staff
members.
4 A force field analysis is a Total Quality Management technique used to identify factors thnt
enhance or hinder implementation of an option or action.
22
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The Task Force identified a number of actions and incentives they believe can
help to overcome identified barriers. These incentives have three fundamental
objectives. They are to:
o maximize reductions in current supervisory personnel through non-
adverse personnel actions (attrition through retirement/resignation
or voluntary reassignment to non-supervisory positions);
o minimize adverse impacts on secretarial staff affected by
streamlining and reorganization; and
o expand opportunities (and training to realize those opportunities)
for all staff in an organization that inevitably will have fewer
supervisory/managerial positions in the future.
Incentives Needed to Reduce Supervisor/Staff Ratio
In keeping with the Task Force's recommendation, the first tier of the Region's
approach to meeting target ratios involves developing an incentives package that will
encourage people to accept reassignments from managerial/supervisory positions
voluntarily. The two aspects of this approach are to establish:
o incentives to encourage people to take advantage of optional or
early retirement or other opportunities, and
o productive new roles for people who remain with the organization.
The first step in implementing this approach will be a survey of Regional staff i n
Grade 14 and above positions. The Region's Human Resources Branch will develop
two survey questionnaires. The first will be distributed to people who are eligible for
optional and early outs over the next five years to determine what their plans are and
potential incentives they view as attractive.
The second survey will focus on people currently in managerial/supervisory
positions whether or not they are eligible for optional or early retirements, and might
give rise to new ideas that we can accommodate. In the course of discussions with focus
groups as the streamlining plan was developed, it was apparent that some supervisors
might volunteer for non-supervisory positions if they were presented with alternative
opportunities that, at a .minimum, would not result in loss of pay or status.5 Some of
5 At a focus group meeting on streamlining, Regional managers were offered the opportunity
to vote on three options that outlined various scenarios under which they might volunteer to
leave supervisory positions. More than half of the managers who voted favored the "we won't
go under any circumstances" option. Slightly less than half voted for the option that included
23
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these incentives are available right now; some may require statutory or regulatory
changes and re-design of the Regional organizational framework. All must be
accompanied bv an assurance that there is a meaningful position that is accurately
classified.
Among the potential incentives available are Intergovernmental Personnel Act
(IPA) assignments and sabbaticals. Opportunities for IPA assignments and sabbaticals
could be encouraged consistent with statutory requirements. TTiose who volunteer for
non-supervisory positions could be given first priority for consideration. Other potential
incentives include long-term training that benefits the Agency and enables the employee
to assume a new role in a streamlined Region II. There are tradeoffs that will be
required because of the current costs associated with the future benefits that will be
realized from these incentives.
Given the Region's relatively young workforce and the opinions expressed during
focus group sessions, the Region does not anticipate that incentives currently available
will have a significant impact on encouraging managers to accept reassignments
voluntarily. In addition, it is not clear at this point what kinds of opportunities are
available for volunteers and whether their grades and pay can be protected over the
long-term. The Administration is considering changing layoff policies from the
traditional seniority and performance-based system to a system based more heavily on
job performance. The change, if brought about, could have an impact on individual
decisions about voluntary actions.
Region II believes that implementation of the following incentives for stimulating
attrition outlined in the Agency's Streamlining Plan are essential if a voluntary approach
is to succeed. They are:
o Utilizing any Buy-Out Authority approved by Congress;
o Seeking Early-Out Authority (without age-related penalties) from
OPM to reduce Grade 14 and above employees;6 and,
o Funding an expansion of retirement counseling and training
programs and re-issuing an updated Employee Benefits Brochure.
saved grade and pay plus incentives. No one voted for the "just give me my current grade and
pay" option.
6 Region II does not believe that the option of implementing an EPA Early Out Program by asking
Grade 14 and above management employees to nominate their positions for elimination would be very
effective because the relatively young age of our managerial workforce would make early retirees subject lo
substantial reductions in retirement benefits.
24
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Incentives for Other Employees
The Task Force also offered several additional recommendations that it believes
would be important to assist all employees who are potentially affected by the changes
that will take place. Among these are to:
o offer secretarial staff affected by streamlining the option of accepting
reassignment to part-time positions;
o initiate developmental programs for secretaries, such as the Goalsetters
Reaching for Opportunities (GRO) Program;
o structure supervisory positions so that supervisors perform only
essential supervisory and managerial functions. Non-supervisory
administrative functions can be performed by employees in newly
created or enhanced office manager or administrative assistant
positions. (This provides an alternative for secretarial/
administrative staff who may be affected by consolidation of
units);
o develop non-supervisory career ladders up to and beyond the GS-13
level to reflect the increased level of expertise and responsibility that
staff will be expected to have in a streamlined organization. (This
would provide for increased promotion potential for persons in non-
supervisory positions and would help to mitigate the reduction in
potential promotions to supervisory positions.); and,
o obtain authority for pay bands for non-supervisory positions. (This
would give managers greater flexibility to adjust pay rates
commensurate with the employee's skills and knowledge, scope of
assignments and performance level).
In its recommendations, the Task Force recognized that further planning and
analysis, including cost/benefit analysis and benchmarking of the best ideas from all
sources, are absolutely necessary to assure that the Region is able to achieve its
streamlining goals. The Region will take steps to complete a thorough analysis of the
ideas presented and take appropriate steps, including refinement of suggested options or
development of new ones.
C~i.
Applying the Position Management Guidelines
The Region is already pursuing an interim approach to organizational
streamlining. We have imposed controls on Grade 14 and above positions that include
freezing promotions from GM/GS-13 to GM/GS-14 and permanent promotions from
25
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GM-14 to GM-15, as described in Section A. The supervisor/staff ratio by division is
shown in Table 5 below:
Table 5
Supervisor to Staff Ratio by Division
Division
Supv/Mgr/Exec
Non-Supervisory
Positions
Ratio
CARIBBEAN FIELD
OFFICE
3
17
1 : 5.7
EXTERNAL
PROGRAMS DIV.
5
22
1 : 4.4
AIR & WASTE
MGMT. DIVISION
24
160
1 : 6.7
EMERGENCY &
REMEDIAL
RESPONSE DIV.
32
190
1 : 5.9
ENVIRON.
SERVICES DIVISION
16
83
1 : 5.2
OFFICE OF POLICY
AND MGMT.
27
131
1 : 4.9
WATER MGMT.
DIVISION
26
143
1 : 5.5
RA/DRA
1
3
1 : 3.0
REGION II
134
749
1 : 5.6
NOTE: Table 5 reflects the total number of employees on-board as of January 1994.
The Acting Regional Administrator charged the division directors to develop draft
proposals that would help the Region to meet the 1:11 supervisor to staff ratio and the
Grade 14 and above position reduction targets within the Region's existing organization
in order to explore the positive and negative outcomes of potential changes. Each
division director was provided with information on current ratios of supervisors to stall,
the percentage of Grade 14 and above positions by division, and workforce diversity.
This analysis served as a basis for discussion of possible future organizational options.
26
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One option in the proposals was the concept of permanent team leaders as an
alternative to first-line supervisors7. The proposals were shared with the managers in
each division and given to the Streamlining Task Force for review. In commenting on
the proposals Task Force members noted that the organizational proposals offered a
number of positive aspects. However, they cautioned that additional data collection and
organizational analysis are necessary. They expressed particular concern that the "team
leader" concept needs to be more fully explored before it can be implemented.
As management attrition occurs, decisions on consolidating positions and
reassigning incumbents will be based on the Interim Position Management Guidelines in
Figure 2 below.
Figure 2
Interim Position Management Guidelines
o Review all managerial/supervisory vacancies
as they occur for possible elimination or
consolidation with other positions.
o Continue the freeze on permanent promotions into
management/supervisory positions.
o Fill management vacancies through reassignment of
employees with a view to abolishing or consolidating
vacated positions.
o Transfer existing management staff from divisions
which are above their target to other divisions where
attrition has occurred to assure a proper balance of
management resources.
o Utilize temporary, promotions under carefully
defined conditions to provide essential
management support and developmental
opportunities for employees with high
potential for future management positions.
7 The concept of permanent team leaders involves the establishment of a sub-management
level position to exercise oversight of on-going agency programs.
27
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Division directors may be authorized by the Acting Regional Administrator to use
the new authority provided by the Office of Personnel Management (OPM) for
temporary promotions up to five years to mitigate the impact of the losses on any one
organization. The Region will use the authority for the purpose of providing career
development opportunities. Through this means, the temporary promotions may be
used to contribute to achieving the Region's diversity goals, while preserving flexibility
for future organizational realignments.
Comprehensive Re-Design and Re-Engineering
Because there are basic changes being made Agencywide, e.g. the Enforcement
Reorganization and the Strategic Planning effort, it is appropriate to consider whether
major organizational changes are needed in the Region as well.
The Regional Streamlining Task Force considered three generic organizational
options. They recommended that alternative organizational options, including
functional, geographic, and medium-specific, as well as retaining the current divisional
structure, be considered. They called for additional analysis to determine the best
approach. The Task Force believes this is more likely to provide an optimal
organizational structure, to preserve and enhance diversity, and to maximize
management quality.
Addressing current organizational options began the process of Regional
streamlining and served as a preliminary outline for the Region to consider until more
detailed analysis can be done. Pending the outcome of the Enforcement Reorganization
Regional Impacts Task Force recommendations, it was felt that a detailed Regional
reorganization analysis would be unproductive.
It is clear from the sheer number of issues that arose during the course of
developing the Streamlining Plan that the Region needs to take a longer, harder look at
options for achieving an optimal organizational structure for Region II by September
1998. The Region will establish a process for organizational analysis and re-design. The
process will center on the Regional Senior Leadership Team (RSLT). The RSLT will
be assisted by a workgroup composed of mid-level managers, subject matter experts, and
other staff. The RSLT will develop a range of organizational options that encompass
streamlining and re-engineering principles including flattening the organizational
structure by eliminating management levels, greater use of team leader concepts, and
pilot-testing self-directed work teams.
Efforts to involve all employees in the process on an on-going basis will continue.
The RSLT will also consult with in-house staff who are program and functional experts.
The RSLT will look at the cross-program, multi-media, and other alternative work
groups that are already in existence in the Region, such as the Multi-Media
Enforcement Work Group, to see which work well and which do not. Consideration will
28
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be given to piloting some streamlining/re-engineering concepts in one or more divisions
in order to test how these concepts work.
To address the suggestion by the Regional Streamlining Task Force that a
management consultant be hired to give unbiased expert opinions on reorganization, the
Region proposes to establish a process for benchmarking redesign proposals so that
Headquarters' Program and other Regional offices and other Federal agencies can offer
constructive comments and suggestions. This option has the added benefit of bringing in
reviewers who have expertise not only in management concepts, but in the mission of
the Agency.
Actions Required for Implementation
o Consider developing a formula and an accountability system that enables
the Agency to account for other than EPA employees and the need to
adjust to potential changes in staffing levels that will occur over the next
five years.
o Reduce the number of supervisors and managers from 134 to 74, a total of 60
positions by September 30, 1998.
o Develop an incentives program to encourage voluntary movement out of
supervisory positions:
Conduct a survey of Regional staff in Grade 14 and above positions
who are eligible for optional and early outs over the next five years
to determine what their plans are and potential incentives they view
as attractive.
Conduct a second survey of staff currently in managerial/supervisory
positions whether or not they are eligible for optional or early
retirements to determine .the kinds of incentives that would
encourage voluntary re-assignments to non-supervisory positions.
Encourage the Agency to pursue implementation of the following
incentives for stimulating attrition outlined in the Agency's
Streamlining Plan:
• Utilize any Buy-Out Authority approved by Congress;
• Seek Early-Out Authority (without age-related
penalties) from OPM to reduce Grade 14 and above
employees; and,
29
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• Fund an expansion of retirement counseling and
training programs and re-issuing an updated Employee
Benefits Brochure.
o Conduct further planning and analysis to complete a thorough analysis of the
ideas presented by the Regional Streamlining Task Force on incentives for all
employees.
o Take appropriate steps, including refinement of suggested options or development
of new ones.
o Apply interim position management guidelines as vacancies occur in
management positions.
o Use authority for temporary promotions on a limited basis to preserve
flexibility for future organizational realignments while providing career
development opportunities and enhancing the Region's diversity goals.
o Establish a process for organizational analysis and re-design centered on
the Regional Senior Leadership Team.
o Pilot some streamlining/re-engineering concepts such as self-directed work
teams in one or more divisions in order to test these concepts.
o Implement the streamlining/re-engineering concepts on a larger scale, as
appropriate.
o Establish a process for benchmarking redesign proposals so that
Headquarters' Program and other Regional offices and other Federal
agencies can offer constructive comments and suggestions.
o Explore how the concept of permanent team leaders as an alternative to first-line
supervisors could be implemented.
Measures
The Region's progress in meeting the supervisor/staff ratio will be tracked
through established internal controls in the Region's Position Management Control
System. The Regional supervisor/staff ratio and the divisions' ratios will be included i n
the Region's periodic progress reports to the Acting Regional Administrator on
streamlining.
In addition, once the Agency issues its streamlining guidelines and other
impediments are overcome, the organizational re-design effort will be accelerated.
30
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Chapter 4
Section C
Increasing Diversity in the Workforce
Background
EPA's Streamlining Plan, dated November 1, 1993, conveys the Agency's
commitment to increasing and utilizing the diversity of its workforce. At the same time,
the plan recognizes the inherent conflict between diversity goals and reduction goals.
Region II has made substantial progress in increasing the diversity of its workforce, and
streamlining will not weaken our commitment. Rather, it challenges us to be more
creative in finding opportunities to develop a more diverse workforce. It will also help
the Region to pursue the National Performance Review recommendation that
Environmental Justice be considered in all aspects of the Agency's operations.
Findings
The representation of women and minorities in the Region's management ranks
and in grades GS-12 and 13, which serve as the feeder group for management positions,
is illustrated in Figure 3 below.
Figure 3
REGION II EMPLOYEE PROFILE
ALL
MANAGERS
SES
QM15
QM14
QM 13
Q318
%m>m
V/////////A
MANAGEMENT POSITIONS
i i . i„ i . j...
I J I I I
rmm
TZX
AREA
LABOR FORCE*
y///wm
10
MAN\GEMENT Fi-EDI-R G ROl IP
f f —^^—
eo
7I0 Jd
NUMBER
OF EM PL
134
6
39
64
25
201
257
100
PERCENT
<%22> ALL MINORITIES ^ WHITE WOMEN <0 WHITE MEN
• 1990 Census AvaBabfflty Data (CAD) far New Yorti New Jersey (Professional Ooeupatlena).
ProfBe reflects employees atafl locations In Region II.
31
-------
While the Region has made significant progress toward a diverse workforce
among positions in the management feeder group (GS-12 and 13), gains have been
slower among the Region's management cadre. The very low rate of turnover in higher-
graded management positions, as illustrated by the attrition data presented in earlier
sections in Tables 1 and 3, is a key factor in slowing gains.
Constraints on moving people from the feeder group into the management ranks
will have an adverse effect on the progress of achieving diversity in the management
ranks. In view of the reduction in supervisory positions called for by the Presidential
Memorandum and with projected rates of attrition continuing at an extremely low level,
the Region will have very limited opportunity to replace managers who leave during the
next five years. Members of the Task Force expressed an added concern that
streamlining will have a disproportionate impact on those who have most recently
moved into the managerial ranks and those who are currently first-line supervisors, our
most diverse cadre of managers.
The Agency's Guidance for Streamlining Plans outlined the following areas for
consideration in dealing with the issue of how to maintain progress in achieving diversity
in the workforce within the context of streamlining:
o Developmental opportunities are preserved to the maximum extent
possible and minorities, women, and persons with disabilities are well
represented in the group of people participating in those opportunities;
o Opportunities are provided for minorities, women, and persons with
disabilities to be selected for temporary assignments, rotational
assignments, task forces, and temporary promotions to critical positions;
o Specific accountability for diversity goals is placed at appropriate levels and a
system for tracking and monitoring progress is established; and
o Aggressive outreach efforts and partnerships with organizations and institutions
are used to help the organization meet its diversity goals.
Region II's Streamlining Task Force noted that two definitions of "diversity" are
being used in the Agency and in the Guidance for Streamlining Plans. One is that
diversity is affirmative employment; the other is that it includes everyone. The following
definitions of the terms ""affirmative action" and "diversity" appear in the November 1992
32
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report issued by the Office of Administration and Resources Management entitled
Cultural Diversity Challenges for EPA: A Strategy for Bold Action:
Affirmative action involves special efforts or programs to recruit, hire, develop and
advance members of groups protected by anti-discrimination laws. In one sense a
goal of Affirmative Action is the creation of a diverse workforce with special
emphasis on hiring and upward mobility of groups previously excluded
Diversity...goes beyond the appeal of legal and social tenets of Affirmative
Action. It focuses on using all people resources to get our job done.
Recommendations
It is important that the Agency use the terms "diversity" and "affirmative action"
correctly and consistently. Using the terms interchangeably diminishes the importance
of meeting affirmative employment goals. It would be more appropriate that the
Agency adopt a definition of "diversity" that is more encompassing. We offer for
consideration the definition that was agreed to by Region II's Streamlining Task Force:
Diversity is the recognition of the range of differences among people belonging
to various groups, including differences related to race, national/geographic
origins, gender, age, disability, religion, lifestyles, sexual orientation, problem-
solving approaches, professional disciplines, management styles, tenure in the
organization, and other attributes. It requires the respect for the individual, the
understanding and appreciation of the differing values and social norms,
including unspoken rules of social interaction, held by ethnic and other groups.
However, affirmative employment, under the umbrella of diversity, mandates
that recruitment, hiring plans and special emphasis programs be geared toward
women, minorities, and individuals with disabilities.
Region II's commitment to increasing diversity and meeting our affirmative action
goals in the management ranks and in .Grade 14 and above positions will focus on those
approaches that have been effective thus far in helping to diversify Region II's
workforce. They address the areas that are outlined in the Agency's Streamlining
Guidance. They are:
o building on our effective, aggressive recruitment efforts aimed at
meeting affirmative action goals;
o providing a broad range of developmental opportunities that
enhance employees' readiness for managerial positions when
vacancies occur;
33
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0
using rotational assignments and temporary promotions into
management positions to enhance career growth;
o ensuring that managers are accountable for maintaining and
increasing diversity in the Regional workforce;
o continuing outreach efforts to academic and other institutions that
serve as a source of help in meeting diversity goals; and,
o providing training on diversity issues for managers and all
employees.
Diversity representatives were appointed to the Regional Streamlining Task Force
and subsequently to each of the four subgroups that were set up by the Task Force.
The Streamlining Task Force also sponsored focus groups to help identify and address
diversity issues in the Region and to provide additional input to the Task Force in its
efforts to make recommendations to accomplish the Agency's streamlining goals. The
focus group discussions yielded a wealth of ideas for promoting diversity. They include:
o establishing accountability measures in order to ensure adherence to
affirmative employment goals;
o encouraging managers to participate in and support their staffs
involvement in the Special Emphasis Programs (SEPs);
o evaluating all proposed options for Regional reorganization for
impacts on diversity;
o informing and encouraging all employees to participate in the
Regional Core Training curriculum, and,
o increasing resources for and expanding developmental opportunities
for all staff in order to increase diversity.
The Region will establish an on-going group to follow up on the recommendations
regarding diversity presented by the Regional Streamlining Task Force and to continue
discussions and dialogue on the topic of diversity.
Recruitment
The success of Region II's targeted recruiting efforts is apparent when we look at
the composition of the Regional workforce through Grade 13. It is ironic that we now
34
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have a diverse feeder pool just as the number of management positions is being reduced
and attrition rates are low. However, as opportunities to fill positions at Grades 13 and
above occur, we will seek to meet affirmative action goals. The Region will continue to
see that merit promotion announcements are written in such a manner as to attract the
broadest range of qualified applicants.
Managerial Developmental Opportunities
To develop a cadre of well-prepared candidates for future managerial openings
that occur once the Region has achieved its target reductions, the Region will continue
to support and encourage participation in management development programs such as
the Women's Executive Leadership (WEL) Program, the Greater Leadership
Opportunities (GLO) Program, and the Special Assistant rotational assignments in the
Regional Administrator's Office, as well as rotational assignments in Regional divisions
and at Headquarters.
Rotational Assignments and Temporary Promotions
Region II is about to launch an Employee Exchange Pilot Program that will
expand the opportunities for Regional staff to participate in rotational assignments. The
program was developed as a follow-up to employee suggestions identified in the "Voice
of the Employee" report and will be implemented on a pilot basis in FY'94.
The program will provide an organized structure through which qualified
employees trade jobs for a period of six months to one year. It will help the Region to
develop employees with multi-disciplinary experience that will benefit the entire
organization and help provide the type of flexibility needed to meet the challenges of
streamlining. Open to permanent full-time employees in the Professional/
Administrative or Supervisory/Managerial ranks, its expansion to include Secretarial/
Clerical employees will be considered as the pilot program is evaluated.
In addition, as previously noted, the Region has adopted a policy that will permit
division directors to replace some of the managerial losses which occur through attrition
with on-board employees selected for temporary developmental assignments. This policy
will serve as an incentive for managers to provide developmental opportunities to WEL
and GLO graduates and other candidates with high potential for supervisory positions.
35
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Accountability
Managers will continue to be held accountable for promoting and achieving
diversity in the Regional workforce by bolstering such measures as:
o records of applicants and selections made when opportunities occur;
o support for diversity training;
o support for internships, rotational assignments, and leadership
development programs such as GLO and WEL; and,
o developing performance standards that measure accomplishments in
achieving diversity.
Outreach
Region II has a long history of outreach to academic and other organizations that
have helped us to achieve progress in developing a diverse workforce; these efforts will
continue. They include:
o leading Agencywide annual recruitment trips to the University of Puerto
Rico;
o establishing a formal partnership with the University of Puerto Rico
at Mayaguez under the Academic Relations Program;
o providing financial and other support for the Discovery Program in
cooperation with Rutgers University, a program aimed at attracting
gifted minority high school students into science and math careers;
o continuing outreach to programs that train and place persons with
disabilities;
o participating in fellowship and internship programs that are aimed at
attracting minority students into environmental careers; and,
o maintaining outreach programs to high schools in minority
communities through the join-a-school program.
Training
The Region will also take advantage of training opportunities to increase all
Regional employees' capacity to understand, appreciate and value diversity.
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Actions Required for Implementation
o The Agency needs to adopt a more encompassing definition of
"diversity".
The Region will:
o Establish an on-going group to follow up on the recommendations
regarding diversity presented by the Regional Streamlining Task
Force and to continue discussions and dialogue on the topic of
diversity;
o Build on our effective, aggressive recruitment efforts aimed at
meeting affirmative action goals;
o Provide a broad range of developmental opportunities that enhance
employees' readiness for managerial positions when vacancies occur;
o Use rotational assignments and-temporary promotions into
management positions to enhance career growth;
o Ensure that managers are accountable for maintaining and
increasing diversity in the Regional workforce;
o Consider expanding the Employee Exchange Pilot Program to
include Secretarial/Clerical employees;
o Continue outreach efforts to academic and other institutions that
serve as a source of help in meeting diversity goals; and,
o Provide training on diversity issues for managers and all employees.
Measures
Region II will include reporting on diversity in the GS-12 and GS-13 feeder pool and in
the managerial and supervisory ranks in Grades 13 and above in its periodic progress
reports to the Acting Regional Administrator on streamlining goals.
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Chapter 4
Section D
Increasing the Authority. Empowerment,
and Accountability of Regional Employees
Background
In keeping with its commitment to implement the National Performance Review,
the Agency's Streamlining Plan describes a variety of tools for employee empowerment
and accountability. The Agency's Guidance for Streamlining Plans calls for
consideration of how the tools might be applied effectively by the Region.
In the spirit of re-invention, Region II is committed to examining the full range of
opportunities available for increasing the authority, empowerment and accountability of
its employees and implementing those that can best help us to achieve our streamlining
goals.
Increasing employee authority, empowerment and accountability is an essential
component of the streamlining process. If the Region is to achieve its streamlining
goals, we need to change not only our supervisor/staff ratio but the way we work as
well. Two important aspects of changing the way we work are:
o transforming the Region's culture to enhance support for increased
employee empowerment and accountability, and
o delegating and decentralizing authority.
To preserve narrative flow, the Findings and Recommendations on cultural
transformation follow. The Findings and Recommendations pertaining to delegating
and decentralizing authority begin on Page 42.
Transforming the Report's Culture
Findings
As the Region moves toward the 1:11 supervisor/staff ratio, there will be impacts
on all employees. Because there will be fewer supervisors, the Region will need to
operate differently than it does today. All employees will assume new, different
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responsibilities and be held to higher levels of accountability. The Region's
Streamlining Task Force defined an organization with an empowered workforce as an
organization which:
o Values diversity in the work force.
o Shrinks hierarchical structure through delegation.
o Promotes effective, clear, and comfortable internal controls.
o Promotes strong communication of goals with more emphasis on
results than on means of implementation.
o Promotes an organizational culture which is supportive without
being restrictive.
o Promotes individual responsibility and accountability.
o Develops a broad menu of career enhancement opportunities.
Focus Group Comments
Based on focus group data and suggestions and comments received from
employees, the Task Force believes that generally Region II employees value their
employment with the Agency. However, feedback from focus group participants
indicates that some employees feel that their suggestions and ideas are not heard by
management nor are they asked how their jobs could be made better. Participants fell
that there is no real plan for continuous improvement in doing their jobs.
Focus group feedback also supports the management theory that in order to fullv
empower employees, awareness of individual differences, e. g., ideas, management styles,
race, gender, and age, add value to the manner in which our employees do their jobs
and accomplish the Agency's goals. Employees have stated that they feel that
differences are presently frowned upon and not routinely incorporated into the way EPA
does business. They feel that EPA's mission will be advanced if employees feel
empowered to do their jobs to the best of their abilities. They believe that this will
occur if diversity is valued.
Employees who participated also stated that there is no point in empowering
people without providing them the tools to accomplish their work. They believe that the
vulnerability that occurs early in the empowerment process can be minimized if
employees obtain proper training to increase their confidence and expertise.
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A Vision for the Region
The Task Force identified three components as the desired state of a re-invented
Region. The Region has:
o well-defined systems and processes in place;
o appropriate internal controls in place; and
o clearly defined levels of responsibility.
Recommendations
In order to meet the Agency's streamlining goals, the Region will need to begin
looking now at how it must function differently in the future so that employees can
assume new authorities and responsibilities and be held to higher levels of accountability
in a streamlined organization.
The Streamlining Task Force defined four areas where enhancements are needed
to accomplish this change:
o Training/Career Development
o Organizational Culture
o Performance/Job Criteria, and
o Accountability/Productivity.
The Task Force provided a series of recommendations that deal with enhancing
training and career development opportunities; more flexible job opportunities and work
place options; improvements in position descriptions and performance appraisal systems;
and greater responsibility for their own work.
Region II has a number of programs in place to accommodate family and
individual needs: compressed work-schedules, alternative starting times, the option of
part-time employment; implementation of the Family and Medical leave Act, availability
of the employee counseling and assistance program, a liberal leave policy for reasons
related to the needs of new parents, FED KIDS child-care at 26 Federal Plaza, under
certain circumstances work-at-home for up to six months (with an extension of another
six months when the employee's mobility is restricted), the possibility of advanced sick
and annual leave, and the Leave Bank.
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The Region will consider the recommendations made by the Task Force as we
build on these programs. The Region will examine each recommendation carefully to
determine whether it can and should be implemented now or requires further analysis.
For recommendations that are outside our existing statutory or regulatory framework
and would need to be pursued at Headquarters or with other agencies or through
legislation, we will establish a mechanism for passing them on to the Office of
Administration and Resources Management or to other lead offices.
The issue of accountability in a transformed Region is one that the Task Force
believes needs further study. The Region must develop new and different systems for
tracking activities and measuring performance based on appropriate internal controls.
There will be a need for new mechanisms for keeping managers informed of what they
need to know.
Delegating and Decentralizing Authority
Findings
The Regional Streamlining Task Force identified the following characteristics that
the Region would possess when authority had been decentralized and delegated:
o Responsibility and authority would be at lower levels, empowering a
more diverse workforce.
o Formal redelegations would be made at the lowest levels possible.
o The work force would feel empowered.
o Appropriate internal controls would be in place.
o Every employee would know his/her level of responsibility and
authority.
o The organization would be streamlined.
o There would be well-defined systems and processes.
o There would be a common mission for the Agency, being achieved
by individuals using different methods.
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Status of Regional Delegations
Currently, approximately 60 authorities delegated to Region II through the EPA
Delegations Manual have been formally redelegated to the Division Director level or
below. The redelegations involve a wide variety of administrative and program
authorities. Other authorities provided to the Region through Headquarters'
memoranda, EPA Orders, or guidance manuals have been redelegated within the
Region in a less formal manner, e.g., by policy memoranda and practices developed by
the Region to cover administrative matters such as travel, compensatory time, and
performance awards.
At a Regional Senior Leadership Team meeting on January 10, 1994, the Region
initiated a preliminary review of authorities in order to streamline programs. As a result
of the review, several authorities will be redelegated by the Acting Regional
Administrator. They are:
o Conference Attendance Travel Authorization
o Authorization of Credentials for EPA Personnel
o Administration of Oaths/Issuance of Credentials for Contractors
o EPCRA/TSCA Orders (release from concurrence by the Acting Regional
Administrator
Other delegations under review for potential redelegation are:
o Alternative fuel schedules/custom monitoring requests
o Underground Storage Tank Orders
o Air Compliance orders for failure to comply with Section 114 letters
o Waiver of 50-mile Overnight Travel Restrictions
Headquarters Delegations
At the Headquarters level, the Green Border Process, which encompasses
delegations issuance, is currently the subject of review by a National Performance
Review workgroup led by the Office of Administration and Resources Management.
The following are some of the issues to be examined by the workgroup with a view to
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revamping existing delegations and improving/simplifying the ongoing process by which
delegations are established and revised:
o inclusion of Regional offices in the development process;
o cross-program consistency;
o minimizing limitations such as consultation and concurrence
requirements; and,
o weighing the Agency's legal vulnerability.
Recommendations
Regional Delegations
The Regional Streamlining Task Force has recommended a systematic review of
all existing Regional authorities for further redelegation with the intent of redelegating
authority to the lowest appropriate official level. The Task Force has recommended
that each Regional program look at current delegations, determine where the authority
currently rests, determine the redelegation potential allowed by the Delegations Manual,
and make recommendations on redelegations to the Acting Regional Administrator after
appropriate internal reviews are completed.
Region II believes this is a fruitful means by which to increase empowerment and
accountability of our employees. The Region believes that further redelegation of
certain additional authorities currently exercised by the Acting Regional Administrator
(and/or redelegating certain authorities currently delegated to the Division Director
level) will increase efficiency by reducing the number of approvals required. For a
variety of reasons, the level of discretion currently exercised varies from program to
program, and the Region will expand its delegations review based on the Task Force's
recommendations.
The Task Force also made a series of recommendations on delegations involving
specific Region II administrative procedures including travel, use of government
vehicles, correspondence control, procurement, and time and attendance. The Region
intends to examine each recommendation carefully to determine whether it can and
should be implemented now or requires further analysis. For recommendations that are
outside our existing statutory or regulatory framework and would need to be pursued at
Headquarters or with other agencies, we will establish a mechanism for passing them on
to the Office of Administration and Resources Management or to other lead offices. As
appropriate, the recommendations will be looked at in conjunction with the efforts that
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we will undertake to improve work processes and pursue implementation of the NPR
recommendations included in Section E of this Chapter.
Headquarters Delegations
The Regional Streamlining Task Force has recommended that the Region support
and participate in Agency-wide task forces to review and analyze delegations of
authority. The Task Force anticipates that each program office will form its own task
force to look at delegations based on a model that the Office of Solid Waste and
Emergency Response has set up to look at delegations of authority under the Superfund
Program legislation. These task forces will make recommendations to the appropriate
Assistant Administrators and subsequently issue proposed modified delegations subject
to the Green Border Review process.
As appropriate, Region II will support and participate in the Agencywide task
forces. The Region anticipates substantive changes from the Agencywide review of the
Green Border Process. Once the changes are announced and implementation begins,
the Region will undertake a further systematic program-by-program review of the EPA
Delegations Manual and existing Regional redelegations with a view to revising existing
redelegations and adding new ones in a way that balances efficiency with accountability.
In the interim, we will continue to review Regional delegations to pinpoint opportunities
for redelegation that we can implement at the Regional level.
Actions Required for Implementation
Transformation of Regional Culture
o Look at how the Region must function differently in the future so
that employees can assume new authorities and responsibilities and
be held to higher levels of accountability in a streamlined
organization. Focus on four areas where enhancements are needed
to accomplish this change:
Training/Career Development
Organizational Culture
Performance/Job Criteria, and
Accountability/Productivity.
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o Examine carefully each recommendation made by the Task Force in this
area (enhancing training and career development opportunities; more
flexible job opportunities and work place options; improvements in position
descriptions and performance appraisal systems; and increasing employees'
responsibility for their work) to determine whether it can and should be
implemented now or requires further analysis.
o Establish a mechanism for forwarding recommendations that are
outside the Agency's existing statutory or regulatory framework or
that would need to be pursued at Headquarters or with other
agencies to the Office of Administration and Resources
Management or to other lead offices.
o Develop new and different systems for tracking activities and
measuring performance based on appropriate internal controls.
o Develop new mechanisms for keeping managers informed.
Delegating and Decentralizing Authority
o Expand the Region's delegations review to include a systematic
examination of all Regional delegations of authority that have
potential for redelegation.
o Examine each recommendation made by the Task Force on specific
delegations of authority to determine whether the recommendation
can and should be implemented now or requires further analysis.
o Support and participate in Agency-wide task forces to review and
analyze delegations of authority, as appropriate.
o Undertake a further systematic program-by-program review of the
EPA Delegations Manual and existing Regional redelegations as
changes result from the Headquarters' review of the Green Border
process.
Measures
The Region will track the number of formal delegations that are reviewed for
potential redelegation and the number of delegations that are redelegated to lower
levels in its periodic progress reports to the Acting Regional Administrator on
streamlining. The Region will also develop an inventory of informal delegations and
track the number of informal delegations that are redelegated to lower levels in the
organization.
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Chapter 4
Section E
Improving Work Processes and Svstems/Incorporating National
Performance Review Recommendations into Regional Operations
Background
The Agency's Streamlining Plan calls for efforts to identify how we can restructure
our work, eliminate excessive oversight, and focus on our commitment to quality and
continuous improvement. In the spirit of streamlining and re-invention, Region II is
committed to achieving continuous improvements in work processes and systems and to
pursuing National Performance Review recommendations, such as consistently and
routinely integrating Environmental Justice into our planning, policy-making, day-to-day
operations and hiring efforts.
Findings
Improving Work Processes
Region II has adopted a Total Quality Management (TQM) approach that
involves several major on-going efforts. The Region has almost completed its effort to
train all employees in the basic principles and tools of TQM. Approximately 850
employees have taken either the three-day basic course or the course designed for
managers. The program has resulted in widespread understanding and acceptance of
TQM principles in the Region.
Region II currently has 39 Quality Action Teams (QATs) identified on its QAT
Inventory that is maintained on the Regional LAN. The QAT Inventory plays a vital
role in linking the TQM efforts of each division with those of the other divisions. The
QATs have looked at a variety of topics, including:
o contractor performance
o peer review process
o enforcement of orders
o Superfund cost recovery, and
o travel
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New QATs designed to address Expediting the Process for Prevention of
Significant Deterioration Permits and Expediting Review of State Workproduct
Submissions are planned.
Implementing the National Performance Review
The results of the National Performance Review (NPR) include more than 125
action items that can be considered across government. In addition, the Agency has
eleven major recommendations that are of highest priority. The Agency and the Region
now have the opportunity to incorporate them into day-to-day operations.
Implementation of the NPR recommendations is closely tied to efforts to improve work
processes and systems. A summary of the NPR recommendations pertaining to EPA is
included in Appendix D.
Environmental Justice is an example of an NPR issue that Region II is
particularly committed to addressing. Region II has formed an Environmental Justice
Work Group that is composed of a diverse group of staff and managers. As established
in its Charter, the mission of the Environmental Justice Work Group is to provide
advice, counsel, analysis and assistance to Region II management on Environmental
Justice issues, and to monitor progress in achieving the Agency's Environmental Justice
goals. Several subgroups to the Work Group have been formed to focus on critical
issues, such as providing internal education on Environmental Justice, and crafting a
planning document to help guide the Region's Environmental Justice efforts.
Recommendations
From the Region's point of view, efforts to improve work processes and to
implement the NPR recommendations are closely linked and fit within the TQM
framework that we have developed in the Region. In addition, changes in
organizational structures must be accompanied by basic changes in the way we work or
they are not likely to produce the desired results. Therefore, we are committed to bring
about the changes that are necessary.
Our experience in developing the Regional Streamlining Plan has shown that it is
a resource-intensive effort. Continuing efforts will be as demanding. Many of the
recommendations called for in the Streamlining Plan require the establishment of teams,
work groups, and task forces to implement the actions required to streamline and re-
invent the Region. This will require a significant investment of resources over the next
few years before the improvements that we hope to bring about help us to work smarter
and better. We support the concept that management will deal with conflicts between
streamlining efforts and meeting program goals in a way that will place a priority on
streamlining and re-invention efforts.
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Building on the work that was begun by the Regional Streamlining Task Force,
Regional management will identify and sponsor additional QATs or other work groups
to address the areas identified by the Task Force as ripe for streamlining. The groups
will be asked to look at four areas of concentration that have high potential to help us
streamline. They are:
o administrative processes;
o customer relations, particularly relations with our states to enhance the
intergovernmental partnership;
o better use of technologies; and,
o more effective use of market-based mechanisms for achieving
environmental protection, a major recommendation of the NPR for EPA.
Each group will be asked to look at the Streamlining Task Force's
recommendations and the NPR recommendations pertaining to its area of concentration
and to analyze whether and how the recommendations can be implemented effectively.
The teams will be composed of staff at all levels who have expert knowledge about the
issues. The teams will be asked to develop proposed workplans for completing the
necessary studies and analyses.
The workplans will be presented to Regional management or to the Regional
Quality Council, as appropriate, for review and approval. On-going communications and
involvement in the process by all Regional employees will be achieved through periodic
town meetings, through the Regional LAN and through other appropriate channels.
Actions Required for Implementation
o Develop Regional management support for the dedication of resources to
streamlining efforts and recognize their importance to the mission of the
Agency.
o Give the same recognition to the importance of work associated with
streamlining and continuous improvement as we do to work associated with
meeting the Region's program responsibilities.
o Identify and sponsor Regional QATs or set up other task or work groups to
address the areas identified by the Regional Streamlining Task Force as
ripe for streamlining and implementation of NPR recommendations in the
Region.
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Measures
Central to the effort to streamline the Agency is our ability to measure "results".
Therefore, it is important that along with recommendations for changes in work
processes and in our day-to-day operations, we develop measures that can be used to
determine how efficiently and effectively we are performing and how the quality of our
work products is improving. As part of their on-going efforts, the QATs will be asked to
develop these measures.
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Chapter 5
IMPACTS AND BARRIERS TO STREAMLINING
Effects on Morale and Diversity
Change and transition, whether perceived as good or bad, have significant effects
on employee morale and productivity. In Region II, concerns were expressed not only
by those most directly affected (supervisors and managers) but by staff at all levels who
perceive negative impacts. Secretarial staff expressed concerns about their roles in the
streamlined organization. Technical and scientific staff cited reduced opportunities to
move into managerial ranks or into higher-graded technical and scientific expert
positions. There are potentially adverse effects on diversity in the management ranks
and discouragement in the feeder groups.
During the development of the Streamlining Plan, Region II employees identified
a number of positive outcomes that they hoped would result from the streamlining
process. They are enthusiastic about changes that promise increased opportunities for
decision making at lower levels, greater job satisfaction, enhanced accountability and
empowerment, and in general, better management within a more efficient organization.
However, the sentiments expressed by staff at all levels indicated that there is a
more pronounced concern about avoiding adverse outcomes than the hope of achieving
positive ones. This suggests that while employees are aware of the potential benefits of
organizational change, they are more concerned about other possible repercussions.
Despite all reassurances to the contrary, Region II employees are concerned that
they will be subject to layoffs, transfer to undesirable positions, demotions, decreases in
salary, outright dismissal or some combination of these possibilities. Those who
participated in focus groups project that if the negative outcomes take place, other likely
results include: heavier workloads for staff who remain, with a drop in productivity; loss
of expertise and institutional memory as more experienced/more talented staff are
removed or put in positions where they cannot be effective; reductions in secretarial
positions as managerial positions are eliminated; profound damage to morale at all
levels; and, a decline in opportunities for advancement to the extent that chances for
upward or even lateral mobility may cease to exist.
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Participants also pointed out that reductions in positions and promotional
opportunities constrain the Region's ability to attract and hire new, quality staff, thereby
stemming the flow of new ideas and enthusiasm on which healthy organizations thrive.
Some are concerned that we will be obliged to engage contractors in greater numbers to
accomplish required tasks if we are unable to staff up to appropriate levels. The Region
may then, by extension, render itself vulnerable to the type of management control
problems that have brought EPA under intense Congressional scrutiny in recent years.
Clearly, there is a need to be responsive to the concerns expressed bv our staff-
To the extent we can. Regional management will provide reassurances. However, the
Agency needs to address these concerns as well. As the Agency issues guidance and
takes actions related to streamlining, it must consider carefully how changes will affect
all of our employees, and attempt to minimize any adverse impacts.
The reduction also substantially affects the diversity of the Region's management
ranks. Region II has made significant progress toward a diverse workforce among
positions in the management feeder group (GS-12 and 13). Gains have been much
slower among the region's management cadre largely because of the very low rate of
turnover in management positions. Constraints on moving people from the feeder
groups into the management ranks will have an adverse effect on progress in enhancing
diversity.
The question of how the Region can preserve its diversity gains while moving
closer to our streamlining goals is a conundrum that is recognized in the Agency's
Streamlining Plan and Guidance. Because of its prior aggressive recruiting and training
efforts, Region II has made substantial strides in increasing the diversity of its
workforce. Just as the feeder group for the management ranks has become more
diverse, the number of managerial/ supervisory positions is being reduced substantially.
Nevertheless, our commitment to enhancing the diversity of our workforce remains firm,
and we will take advantage of every opportunity that is presented.
Uncertainties
There are a number of factors that will influence the outcome of the Agency's
(and the Region's) streamlining effort. The factors affect not only the 1:11 goal but
other goals of the streamlining effort. Uncertainties arising over the course of five years
can impede progress toward a streamlined organization. For example, the Agency's
streamlining guidance directed us to assume the status quo with respect to the
Enforcement Reorganization's Regional Impacts Task Force. However, any changes
that do result from it could affect the Region's structure and supervisor/staff ratios.
The number of FTEs is also a moving target. Increases or decreases in total FTEs in
the Region will affect the total number of management and supervisory positions
required. Conversion of funds used to hire contractors into funds that can be used to
hire additional employees will also have an impact. Other factors that will influence the
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ratios and structure include reauthorizations of major legislation such as the Clean
Water Act and Superfund. The emergence of new roles for the Agency, such as Cabinet
status, will likely present new challenges.
Cross-currents affecting Streamlining
At the same time, there are cross-currents that affect the way the Agency does
business. These include increasing demands on the part of the Congress for oversight
and accountability and its tendency to pass legislation that is medium-specific and highly
prescriptive with respect to requirements and deadlines.
New Approaches are Needed
To move toward a new organization that embodies streamlining concepts, the
Region has identified some new approaches that need to be developed Agencywide or
addressed by outside organizations such as the Office of Personnel Management or the
Office of Management and Budget. One example is the need for Agency guidance on
streamlining. Another is the need for a different performance evaluation mechanism
because there will be fewer supervisors and their roles will change significantly. With
twice as many employees reporting to supervisors, the average supervisor will have less
time for individual employees. If new concepts such as self-directed work teams are
piloted, new methods for peer evaluation of performance will be needed. A simplified
personnel classification system that is more flexible and supportive of the new
roles/responsibilities of all employees in a streamlined organization will also be
required.
The PACER SHARE demonstration project at the Sacramento Air Logistics
Center in California tested a whole new federal personnel system. Radical departures
from current practices included abolishing individual performance ratings, eliminating
GS grades, stressing group performance, pay banding and a new partnership between
labor and management with the establishment of a labor/management committee. The
President's Labor-Management Partnership Council, which is developing a new civilian
personnel system for the entire government, was briefed on PACER SHARE. It is
likely that the Council will propose legislation to make essential changes in the current
system. The outcome of this project is likely to affect the Agency's streamlining efforts
substantially.
Our employees will also require training that improves their ability to work in
teams and to exercise new authorities responsibly. Decisions that empowered employees
have to make cannot be based only on narrow technical issues. Empowered employees
will be expected to weigh highly complex legal, socio-economic, and other factors. The
Region will need to create an atmosphere that supports empowerment.
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Chapter 6
REINVESTING OUR SAVINGS
In her November 1, 1993 letter submitting EPA's Streamlining Plan to the Office
of Management and Budget, the Administrator stated that the resource savings EPA
realizes from streamlining "must be reinvested to meet the increasing demands on EPA."
Region II's approach toward reinvestment of anticipated streamlining savings will be
consistent with this mandate.
There are a number of areas where our streamlining efforts are likely to yield
savings. These include the steps we have identified in Chapter 4 to increase the
authority, empowerment and accountability of Regional employees; expand delegations
and decentralization of authority; improve work processes and systems; and incorporate
National Performance Review recommendations into Regional operations. Although we
cannot quantify the savings that will accrue through these measures at this time, our
experience with the expansion of computer technologies over the last several years and
with a number of Regional TQM initiatives has shown that changing the way we work
can reap substantial benefits. By streamlining work-processes and making new
technologies available, we can enable employees to focus more of their energies on
achieving the environmental goals of the Agency.
We will reinvest any savings achieved through streamlining into the priority areas
identified in the Agency's November 1 Streamlining Plan. These are:
o Promoting Pollution Prevention;
o Pursuing Sustainable Development;
o Building Intergovernmental Partnerships;
o Establishing an Ecosystems Protection Approach;
o Incorporating Environmental Justice;
o Promoting Quality Science;
o Employing Market-Based Incentives to Reduce Pollution; and
o Fostering Innovative Environmental Technologies.
As the Region gains a better understanding of the level of any potential savings,
we will include that information in our streamlining progress reports.
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Chapter 7
IMPLEMENTATION PLAN
This chapter summarizes all of the actions required to implement the
recommendations set forth in Chapter 4. Target dates for the actions that the Region
can undertake have been set. Where the action required is not within the Agency's
current authority or is an action that Headquarters must consider, this has been noted.
The actions are grouped according to the section in which they appear in Chapter
4. Each grouping is followed by a re-statement of the measures that the Region will use
to track progress.
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IMPLEMENTATION PLAN
A. Reducing the Number of Employees in Grade 14 and Above Positions bv 1995
o
o
o
Action Required
Eliminate three Grade 14 and above positions over the next 20
months.
Continue to implement controls on positions at Grades 14
and above.
Consider requests to convert selected managerial positions to
permanent part-time wjiere incumbents voluntarily elect this option.
o Assign and track divisional reduction goals.
Target Date
September 30, 1995
On-going
On-going
May 31, 1994
Measures
The Region will continuously monitor the number of Grade 14 and above positions through established internal
controls in the Region's Position Management Control System. In addition, the number of Grade 14 and above positions
will be an element in the Region's periodic report to the Acting Regional Administrator on the progress of streamlining in
Region II. The Region will continue its policy of promoting people into Grade 14 and above positions only on a
temporary basis until our target of 106 positions is achieved.
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Flattening the Organizational Structure bv Moving toward the 1:11 Supervisor to Staff Ratio bv 1998/Creating
a Structure That Will Support Achievement of Agency and Regional Goals
Action Required Target Date
Consider developing a formula and an accountability system that Headquarters action required
enable the Agency to account for other than on-board permanent
full-time employees and the need to adjust to potential changes in
staffing levels that will occur over the next five years.
Reduce the number of supervisors and managers from 134 to 74, a total of September 30, 1998
60 positions.
Develop an incentives program to encourage voluntary movement
out of supervisory positions.
Conduct a survey of Regional staff in Grade 14 and above September 30, 1994
positions who are eligible for optional and early outs over the
next five years to determine what their plans are and
potential incentives they view as attractive.
Conduct a second survey of staff currently in September 30, 1994
managerial/supervisory positions whether or not they are
eligible for optional or early retirements to determine the
kinds of incentives that would encourage voluntary re-
assignments to non-supervisory positions.
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Action Required Target Date
Encourage the Agency to pursue implementation of the
following incentives for stimulating attrition outlined in
the Agency's Streamlining Plan:
o Utilize any Buy-Out Authority approved by Congress. Congressional action required
o Seek Early-Out Authority (without age-related Headquarters action required
penalties) from OPM to reduce Grade 14 and
above employees.
o Fund an expansion of retirement Headquarters action required
counseling and training programs and re-
issue an updated Employee Benefits
Brochure.
Conduct further planning and analysis to complete a thorough analysis of Through June 30, 1994
the ideas presented by the Regional Streamlining Task Force on incentives
for all employees.
Take appropriate steps, including refinement of suggested options or On-going
development of new ones.
Apply interim position management guidelines as vacancies occur in On-going
management positions.
Use authority for temporary promotions up to five years for the On-going
purpose of providing career development opportunities and
enhancing the Region's diversity goals.
61
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Action Required
o Establish a process and for organizational analysis and re-design
centered on the Regional Senior Leadership Team.
o Pilot streamlining/re-engineering concepts such as self-directed work
teams in one or more divisions in order to test how these concepts
work.
o Implement the streamlining/re-engineering concepts on a larger
scale, as appropriate.
o Establish a process for benchmarking redesign proposals so that
Headquarters' Program and other Regional offices and other Federal
agencies can offer constructive comments and suggestions.
o Explore how the concept of permanent team leaders, as an alternative to October 1, 1994
first supervisors could be implemented.
Measures
The Region's progress in meeting the 1:11 supervisor/staff ratio will be tracked through established internal controls
in the Region's Position Management Control System. The supervisor/staff ratio will be included in the Region's periodic
progress report to the Acting Regional Administrator on streamlining. In addition, once the Agency issues its follow-up
streamlining guidelines and other impediments are overcome, the organizational re-design team will accelerate its efforts.
Target Dale
May 31, 1994
June 30, 1994
As appropriate
June 30, 1994
62
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C. Increasing Diversity in the Workforce
Action Required
o Develop a more encompassing definition of "diversity" for the
Agency.
o Continue aggressive recruitment efforts aimed at increasing diversity.
o Provide a broad range of developmental opportunities that enhance
employees' readiness for managerial positions when vacancies occur.
o Use rotational assignments and temporary promotions into
management positions to enhance career growth.
o Ensure that managers are accountable for maintaining and increasing
diversity in the Regional workforce.
o Evaluate the expansion of the Employee Exchange Pilot Program to
include Secretarial/Clerical employees.
o Continue outreach efforts to academic and other institutions that
serve as a source of help in meeting diversity goals.
o Provide training on diversity issues for managers and all employees.
Target Date
Headquarters action required
On-going
On-going
On-going
On-going
June 30, 1994
On-going
On-going
Measures
Region II will include reporting on diversity in the GS-12 and GS-13 feeder pool and in the managerial and supervisory
ranks in Grades 13 and above in its periodic progress reports to the Acting Regional Administrator on streamlining.
63
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D. Increasing the Authority. Empowerment and Accountability of Regional Employees
Action Required Target Date
Transformation of Regional Culture
o Look at how the Region must function differently in the future so that May 31, 1994
employees can assume new authorities and responsibilities and be held to
higher levels of accountability in a streamlined organization in four areas
where enhancements are needed to accomplish this change:
Training/Career Development
Organizational Culture
Performance/Job Criteria, and
Accountability/Productivity.
o Examine carefully each recommendation made by the Task Force on Through September 30, 1994
enhancing training and career development opportunities; more flexible job
opportunities and work place options; improvements in position
descriptions and performance appraisal systems, and increasing
responsibility for their own work to determine whether the
recommendation can and should be implemented now or requires further
analysis.
64
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Action Required
o Establish a mechanism for passing on recommendations that are
outside the Agency's existing statutory or regulatory framework or
would need to be pursued at Headquarters or with other agencies to
the Office of Administration and Resources Management or to other
lead offices.
o Develop new and' different systems for tracking activities and
measuring performance based on appropriate internal controls.
o Develop new mechanisms for keeping managers informed of what
they need to know based on the need for information exchange and
not on lack of trust of individuals, or organizations.
Delegating and Decentralizing Authority
o Expand the Region's delegations review to include a systematic
examination of all Regional delegations of authority that have
potential for redelegation.
o Examine carefully each recommendation made by the Task Force on
specific delegations of authority pertaining to current Regional
administrative processes to determine whether the recommendation
can and should be implemented now or requires further analysis.
o Support and participate in Agency-wide task forces to review and
analyze delegations of authority, as appropriate.
65
Target Date
June 30, 1994
On-going
On-going
December 31, 1994
March 31, 1994
On-going
-------
Action Required
Target Date
o Undertake a further systematic program-by-program review of the September 30, 1995
EPA Delegations Manual and existing Regional redelegations as
changes result from the Headquarters' review of the Green Border
process.
Measures
The Region will track the number of formal delegations that are reviewed for potential redelegation and the number
of delegations that are redelegated to lower levels in its periodic progress report to the Acting Regional Administrator on
streamlining. The Region will also develop an inventory of informal delegations and track the number of informal
delegations that are redelegated to lo\ver levels in the organization.
66
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E. Improving Work Processes and Svstems/Incorporating National Performance Review Recommendations into
Agency and Regional Operations
Action Required Target Date
o Develop Regional management support for the dedication of On-going
resources to streamlining and recognition of their importance to the
mission of the Agency.
o Give the same recognition to the importance of work associated with On-going
streamlining and continuous improvement as we give to work
associated with meeting the Region's program responsibilities.
o Identify and sponsor Regional QATs or set up other task or work June 30, 1994
groups to address the areas identified by the Regional Streamlining
Task Force, the Regional Senior Leadership Team, and other
employees, as ripe for streamlining.
Measures
Central to the effort to streamline the Agency is our ability to measure "results". Therefore, it is important that
along with recommendations for changes in work processes and in our day-to-day operations, we develop measures that
can be used to determine how efficiently and effectively we are performing and how the quality of our work products is
improving. As part of their on-going efforts, the QATs will be asked to develop these measures.
67
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Appendix A
Executive Summary
of the
Regional Streamlining Task Force
Final Report
69
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EPA Region 2
Streamlining Task Force
Final Report
January 15, 1994
EXECUTIVE SUMMARY
Region 2's Streamlining Task Force was established to develop recommendations on how
the Region will meet the streamlining goals identified in the Agency's plan, Improving
Environmental Protection through Empowered Employees. The Task Force was
established with participation from managers, and non-supervisory and administrative
staff. Additional input was solicited from the Region as a whole through "focus groups"
and suggestion boxes. The final report represents the ideas from a wide spectrum of
perspectives, experiences and backgrounds.
The Task Force was divided into four separate subgroups to develop recommendations
on each of the agency-wide streamlining goals. The individual subgroup
recommendations were discussed by the Task Force as a whole and those that received
majority support are presented here as recommendations. Those which
did not are also presented as ideas for future consideration. Each of the subgroups'
reports are presented as separate chapters.
Subgroup 1 considered means to establish a 1:11 supervisor to staff ratio and the optimal
organizational structure needed to reach Agency and organization goals. Three generic
organizational options were developed and evaluated: retaining the current divisions;
reorganizing the Region not necessarily retaining the current divisional structure; and
reconfiguring regions. The Task Force recommends the second option and calls for
additional analysis to determine the best approach within this option. This option was
more likely to provide an optimal organizational structure, preserve and enhance
diversity and has the ability to maximize management quality. In addition, a number of
potential incentives were identified to help achieve the 1:11 supervisor to staff ratio.
They include incentives to encourage voluntary managerial reassignment to non-
supervisory positions, retirements, early' outs and the expansion of alternative
opportunities for all staff potentially affected by a reorganization. In order to accomplish
an optimal structure and achieve the 1:11 ratio, the Region must do the planning,
analysis and followup studies necessary to develop the best organizational structure,
increase employee involvement, realign personnel where necessary to maximize quality
and diversity of remaining managerial staff and decrease layers of management review.
Subgroup 2 developed recommendations to increase delegation and decentralization of
authority in the Region. The group called for a systematic review of all processes and
authorities with the intent to entrust decision making and delegate authority to the
lowest appropriate official level. This will entail participation in agency-wide Task Forces
and the creation of a region-wide Task Force to review existing delegations of authority
70
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for potential redelegation. The group also made a series of recommendations on specific
Region 2 administrative procedures including travel, use of government vehicles,
correspondence, concurrences, procurement and time and attendance.
Subgroup 3 reviewed the issues of empowerment and accountability. In order to meet
the Agency's streamlining goals, the Region will need to function differently in the
future, with employees assuming new authorities and responsibilities and being held to
higher levels of accountability. The group defined four areas of improvements to
accomplish this change: Training/Career Development, Organizational Culture;
Performance/Job Criteria, and Accountability/Productivity. Employees need to have
well defined systems and processes in place, appropriate internal controls and an
understanding of their level of responsibility. Employees need to be given enhanced,
broader training opportunities, more flexible job opportunities and work place options,
clearer position descriptions and greater authority/responsibility over their own work.
Subgroup 4 investigated current work processes in the Region and the implementation of
the National Performance Review. They focused on consolidation of grants, the FOIA
process, communications and correspondence procedures, contracts management and
changes to the Federal Personnel System. Some of the overarching issues discussed in
developing these recommendations are the need to be client-oriented, to take full use of
the computer system, and to provide greater flexibility in performing tasks. In setting
priorities for these recommendations, the subgroup considered the recommendations
identified by the National Performance Review.
The Diversity representatives used the work of the individual subgroups and input from
participants in the "focus group" discussions to propose recommendations under two
definitions of "diversity." The first group of recommendations focused on the definition
that equates diversity with affirmative employment goals. Recommendations in this
group stress accountability in meeting those goals and improving management awareness
of the pool of appropriate candidates. An alternative definition was proposed and
adopted by the Task Force which defines diversity as the recognition of the range of
differences belonging to all the diverse segments of our population including differences
related to race, origins, gender, age and other attributes. Recommendations under this
definition seek to improve training, increase delegation, expand developmental options
and leadership training programs for all staff.
The Task Force report points out a wide range of options and opportunities available to
the Region as we seek to meet the goals of a streamlined organization. A thorough
analysis of the ways we do our work now and the ways we should change to best achieve
our mission needs to be done in order to evaluate these options. The Task Force
suggests that a formal plan with milestones and schedules should be developed as soon
as possible to support this effort. Without this kind of broad reconsideration we will be
in danger of achieving a reorganization of our structure without instituting the necessary
changes in our Agency's culture and in the ways we accomplish our mission.
71
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Appendix B
Summary Charts
of the
Regional Streamlining Task Force
Final Report Recommendations
73
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APPROACHES TO ACHIEVING COMPLIANCE WITH THE 1:11 SUPERVISORY RATIO GOAL, AND ANALYSIS OF OPTIMAL
ORGANIZATION STRUCTURE TO REACH AGENCY AND ORGANIZATION GOALS
RECOMMENDATION
LEVEL
OF
T.F.
SUPPORT
YES/NO
COMMENTS
1. Do planning/analysis—including cost/benefit
analysis and benchmarking of best ideas
elsewhere—ahead of time.
SR
2. If a preliminary organizational structure is
adopted as part of the regional plan, agree to do
follow-up analysis, and agree to be flexible.
SR
3. Consider using a management consultant to get
unbiased expert opinions on reorganization.
SR
4. Keep everyone informed. Keep employees
informed and involved in all parts of the
streamlining process. Establish a means, such as
a communications group, to accomplish this
throughout the development and implementation
process.
SR
5. Explain decisions when they're made, and make
sure they're backed up by facts. When choosing
options, make sure employees understand their
value and why those options were chosen.
SR
6. Abolish all existing management positions and
advertise all new management positions existing
after reorganization to all EPA Region II
employees. Assuming existence of acceptable
alternatives involving no loss in grade and pay,
employees can compete for post-reorganizational
management positions.
R
7. Preserve diversity by maintaining equal
opportunity in all merit promotions.
U
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RECOMMENDATION
LEVEL
OF
T.F.
SUPPORT
YES/NO
COMMENTS
8. Provide appropriate incentives for managers
to leave their positions voluntarily.
U
9. Create incentives to retain quality staff.
U
10. Develop non-supervisory career ladders up to
and beyond GS-13.
SR
11. Review and bring to closure pending
personnel actions for managers (with an eye to
avoiding legal challenges).
SR
12. Let there be 3 levels of management,
including RA/DRA as one, no matter what option is
chosen. As a point of emphasis, do not create
additional management levels.
SR
13. Structure supervisory positions so that they
perform only essential supervisory and managerial
functions. Non-supervisory, administrative
functions to be performed by newly-created (or
existing) staff-level "office manager" or
administrative position.
a
14. Let there be equitable distribution of
supervisory grades, from division to division.
R
15. After reviewing the three options and the
associated Force Field Analyses, the subgroup
recommends Option #2 (new regional organization).
SR
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INCREASED DELEGATION AND DECENTRALIZATION OF AUTHORITY
RECOMMENDATION
LEVEL
OF
T.F.
SUPPORT
YES/NO
COMMENTS
l. The region supports and participates in
Aaencv-wide Task Forces (sucraested in imDrovincr
Environmental Protection throuah EmDowered
U
EmDlovees, November 1. 1993) to review and
analyze the Delegations of Authorities for
further delegation to the regions and for the
provision of allowing redelegation to the lowest
appropriate level.
2. The Region forms Regional Task Forces to
investigate the existing authorities for
potential further redelegation.
U
3. The approval of Travel Authorization be
redelegated to the Branch Chief or second-line
Supervisor and the approval of Travel Vouchers be
redelegated to the Section Chief, or first-line
Supervisor, level.
SR
4. The process for the approval and control of
the use of tolls and tokens should be
investigated with the intent to streamline the
process and delegate the authority to the extent
possible.
SR
5. The approval authority for all overnight use
of Government Vehicles be delegated to the first
line supervisor.
SR
77
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RECOMMENDATION
LEVEL
OF
T.F.
SUPPORT
YES/NO
COMMENTS
6. Each Program/Division reviews the authority
to sign the different types of correspondence for
delegation to the lowest extent appropriate. For
correspondence whiqh is common to all divisions,
the region reviews the authority to achieve
consistency. The types of correspondence to be
reviewed are: technical review memos and
letters, controlled correspondence, and other
types of correspondence with the intent to
delegate to the lowest extent appropriate.
U
7. The Region reviews the number of and the
manner in which concurrences are obtained with
the intent of reducing the total number of
concurrences and the number of reviewers.
D
8. The Region reviews the existing Regional
policies for Procurement Requests for small
purchases with the intent of streamlining and
delegating approval authority to the extent
possible under the existing regulations.
SR
9. Change training manual to give Branch Chiefs
or second-line supervisors the authority to
approve training and also provide them with
training budgets for their staff.
SR
10. Review the existing Training policies with
the intent of further streamlining the approval
of authority to the extent possible under the
existing training manual.
U
78
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RECOMMENDATION
LEVEL
OF
T.F.
SUPPORT
YES/NO
COMMENTS
11. Delegate to staff the ability to obtain
supplies and request bulk photocopying without
approval of supervisor.
SR
12. The Region reviews the existing Regional
policies and procedures for recording employees'
time and attendance" with the intent of
streamlining the process and delegating the
authorities to the lowest level possible.
U
13. The Region reviews the Regional policies and
procedures for recording employees' time on
Superfund sites with the intent of streamlining
the process and delegating the authority to the
lowest level possible.
SR
14. The Region reviews the Regional policies and
procedures for review and approval of Grants,
Cooperative Agreements and InterAgency Agreements
with the intent of streamlining the process and
delegating the authority to the extent possible.
U
15. The authority to approve spot awards and
time-off awards is redelegated to the Branch
Chiefs or second-line supervisor within the
limits of a branch budget allowance.
U
16. The Region reviews the working relationship
between the Caribbean Field Office (CFO) and the
New York Regional Office with the intent to
increase the direct responsibility and
accountability of the CFO.
U
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INCREASED EMPOWERMENT OF EMPLOYEES WITH APPROPRIATE ACCOUNTABILITY
RECOMMENDATION
LEVEL
OP
T.P.
SUPPORT
YES/NO
COMMENTS
1. Establish policy which would enhance the
Region's ability to assure timely and effective
core training by limiting the amount of time in
which employees mua^t complete the agency's core
training curriculum (e.g. 2 years).
U
2. Establish a broader, less restrictive
approach to education/training, i.e., afford
educational opportunities, which may go beyond an
employee's job duties, but are consistent with
the Agency's mission.
U
3. Establish more temporary details, and
rotational assignments which become available to
employees who meet specific performance criteria.
SR
4. Assure each employee an individual
development plan.
SR
5. Assure each employee a given amount of annual
funding to be used for training purposes. Ensure
equal training opportunities for all employees
regardless of professional status.
SR
6. Include diversity training in the Agency's
core training curriculum. The agency should
provide information and promote awareness, thus
allowing individuals to confront their prejudices
and increase empathy and understanding of all.
R
7. Demonstrated skills and abilities shall
determine an employee's opportunities for
advancement and choosing a different career path
within the Agency.
SR
80
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RECOMMENDATION
LEVEL
OF
T.F.
SUPPORT
YES/NO
COMMENTS
8. Encourage mentoring among all employees.
D
9. Establish and advertise clear guidelines for
the Work-at-Home Program/Flexiplace, and other
related programs, and develop eligibility
criteria. Considerations shall include
accountability, productivity, and cost
effectiveness.
U
10. Encourage job change, and movement within
the Region, to give employees a wider perspective
on the Agency's mission and their own personal
goals. Establish and advertise procedures which
facilitate such mobility, and provide incentives
for management support.
SR
11. Recognize, value, and respect various
management and work styles.
SR
12. Encourage increased individual
responsibility, accountability, and risk-taking
within employee's job function.
U
13. Develop a flexible and responsive work place
which will accommodate family and individual
needs.
u
14. Consider the use of QATs, focus groups, and
task forces in decisions regarding priorities,
strategies, and work assignments, as appropriate.
SR
15. Update position descriptions as necessary,
and let it be a cooperative effort between
management, staff, and the Human Resources
Branch.
SR
81
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RECOMMENDATION
LEVEL
OP
T.P.
SUPPORT
YES/NO
COMMENTS
16. QATs and focus groups should be formed to
assess the performance appraisal system.
SR
17. Cultivate the importance of "ownership of
work,11 e.g., greater signatory authorities to
originators, and recognizing contributors.
D
18. Further studies should be implemented to
investigate the subject of accountability, i.e.,
how to achieve and maintain it.
D
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IMPROVEMENT OF WORK PROCESSES AND SYSTEMS
RECOMMENDATION
LEVEL
OF
T.F.
SUPPORT
YES/NO
COMMENTS
1. The Region should review its policies and
procedures for submittal, review and approval of
grants to determine how the process can be
improved and streamliped. As part of this
effort, we recommend that a workgroup (or a QAT)
be convened to identify issues of commonality
amongst all grants and to make specific
recommendations to improve the process.
SR
2. The Region should continue to work toward
streamlining its FOIA process by identifying
areas of improvement through a focus group
exercise, adopting the recommendations developed
by AWM's existing FOIA QAT on a Region-wide basis
and exploring the gains made by other Regional
offices for potential application within the
Region.
SR
3. Introduce a Region-wide Pilot Project using a
demo disk to access frequently requested
documents. Frequently-requested documents from
RCRA Information System, CERCLIS, Permits
Compliance System, Facilities Index Systems, and
the Toxic Release Inventory System could be made
available on disk to the public, at a nominal
cost.
SR
4. Recommend that teams be formed to look at
specific issues on the management of the
different contracts used by the Region in light
of streamlining the process. As part of this
effort, we should continue to be active
participants on the nation-wide QATs.
U
83
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RECOMMENDATION
LEVEL
OF
T.F.
SUPPORT
YES/NO
COMMENTS
5. Currently there are QATs which are looking at
management issues related to the ARCS contracts
for Super fund. Recojnmend that Regional
Management ensures that the QATs are provided
with the appropriate guidance/ support, priority,
and empowerment to continue their missions. The
work from these QATs may be useful for issues for
other types of contracts.
U
6. We suggest the creation of a QAT, comprised
of individuals from the divisions who routinely
come into contact with RA correspondence, from
management, professionals and secretarial, to
improve the process. The first order of business
may be to develop a flow chart of the route
letters take — from the mailroom until they are
signed by the RA.
R
7. The Region should form a Technology workgroup
which looks at how existing and emerging
technology can be used to streamline work
processes.
D
8. Connect all staff to the LAN system, as soon
as possible. The Administrator's Office has
given improved communication a high-enough
priority that it plans to have all the Regions
and HQ on the same LAN within the next two years
(according to the NPR). If connection is not
possible, at a minimum, modems should be
available to the unconnected.
D
84
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RECOMMENDATION
LEVEL
OP
T.F.
SUPPORT
YES/NO
COMMENTS
9. Create a library network on the LAN which
contains and cross-indexes: the Delegations
Manual; Directives, Guidance, Policies, etc.
related to the delegated authorities; and
Regional Redelegations.
R
10. Investigate the following personnel
processes to identify possibilities for
streamlining and improvement, with
accountability: performance standards; position
descriptions and responsibilities; performance
appraisals/evaluations; career ladder promotions;
the position classifications system; a means or
system of enabling staff to evaluate
managers/supervisors; and awards processes.
SR
11. Establish a Virgin Islands Field Office or
dedicate a full-time position allocated and
located in an office in one of the U.S. Virgin
Islands to work with its constituents in this
part of the Region.
SR
12. Look into how we service the needs of
customers calling into the Region.
SR
13. Improve or delete voice mail.
SR
14. Investigate the use of Agency credit cards,
benchmarking with other Regions1 successful
experiences. Agency credit cards should be
distributed to each division for use in
purchasing "small-ticket" items.
SR
85
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RECOMMENDATION
LEVEL
OP
T.P.
SUPPORT
YES/NO
COMMENTS
15. Enforce Photocopying Guidelines (i.e., Bulk
Photocopying). Enforce use of the Mail Room
xerox opportunities for large photocopying
orders.
SR
16. Investigate the continued use of the
anonymous suggestion box on the LAN system, after
the "demise" of the Streamlining Task Force, and
the process by which responses would be made to
suggestions.
SR
86
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STRATEGIES FOR ENSURING THE DIVERSITY OF THE WORKFORCE
RECOMMENDATION
LEVEL
OF
T.F.
SUPPORT
YES/NO
COMMENTS
1. The Agency/Region should have a consistent
view/definition of diversity in order to
accomplish affirmative employment goals.
SR
2. Accountability measures must be established
in order to ensure adherence to affirmative
employment goals.
R
3. Encourage managers to participate in and
support their staff's involvement in the Special
Emphasis Programs (SEPs).
U
4. In any reorganizational effort, evaluate all
proposed options for their impacts on diversity.
SR
5. All employees should be informed about and
encouraged to participate in the Regional Core
Training Curriculum.
SR
6. In accordance with the accepted definition,
Diversity Training should be developed and
incorporated within the Core Curriculum.
SR
7. Responsibilities, authorities, and
accountability should be delegated to the lowest
appropriate level within the workforce.
SR
87
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RECOMMENDATION
LEVEL
OF
T.F.
SUPPORT
YES/NO
COMMENTS
8. Increase resources for and expand on
developmental options (i.e., advancement
opportunities) for all staff in order to increase
diversity.
SR
9. In order to promote diversity and the valuing
of differing work stales among staff, a pilot
leadership training program should be developed.
U
10. Upon the establishment of future task force
groups/QATs/ subgroups/focus groups, it is
important that the structures of such groups
contain a representation of customers affected by
the outcome of the groups's recommendations.
U
11. There should be, at minimum, a full-time
position assigned to and stationed in the U.S.
Virgin Islands.
SR
12. The Caribbean Field Office (CFO) should be
given more direct responsibility and
accountability to carry out all program elements
assigned to that office under both present and
future organizational structures.
SR
13. Schedule periodic group sessions to continue
dialogue between managers and employees on
diversity in order to solicit ideas/suggestions
from regional staff and to assess how the Region
may reinforce diversity.
SR
14. The Region should conduct a survey which
solicits feedback from employees to identify the
possible concerns about diversity.
U
88
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Appendix C
Demographic Profiles
of
Region II's Workforce
89
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EDUCATION OF REGION II EMPLOYEES AT HIRING
PERCENT
120%
100%
CUMULATIVE EDUCATION LEVEL
NOT INCLUDING REGIONAL COUNSEL
-------
AVERAGE AGE OF REGION II STAFF BY GRADE LEVEL
AVERAGE AGE
70
60
50
40
30
20
10
u 2
2 3 4 6 « 7
NOT INCLUDING ORC
MEDIAN AGE - 36
OVERALL AVERAGE AGE - 37
8 9 10 11 12 QS-13 QM-13 QS-14 QM-14 IS SES PHS CSLT
GRADE LEVEL
FIGURES ON TOP ARE THE NUMBER OF EMPLOYEES AT EACH LEVEL
-------
AGE DISTRIBUTION OF REGION I I MANAGERS
FY '94
OF UUWGERS
50 I —^^
UHOCR 90 30 ro <33 3? TO <40 40 TO <43 45 TO <30 30 10 <33 33 TO <60 60 AM> A6CNE
ACE
ror incluoik; mgiohu courea.
GRAOE LEVEL
AGE RANGE
MEDIAN AGE
AVERAGE AGE
GM-13
30 TO 63
43
43
GM- 14
31 TO 58
42
42
GM-15
35 TO 73
46
47
SES
44 TO 60
52
52
ALL MANAGERS
30 TO 73
44
44
-------
LENGTH OF SERVICE BY GRADE LEVEL IN REGION II
FOR FY 94
LENGTH OF SERVICE BY GRADE LEVEL
Not including Regional Counsel Figures on top show the total numbers of employees at each grade
-------
FY '94 WORKFORCE PROFILE IN REGION
BREAKOUT BY TYPE OF POSITION
TECHNICAL 52 5.9%
ADMINISTRATIVE 81 9.2%
CLERICAL 167 19 096
ENGINEERING 211 24.0%
MANAGEMENT 134 15.2%
SCIENTIFIC 236 26.8%
Not including Regional Counsel
-------
FY '94 WORKFORCE PROFILE IN REGION
Number of Employees by Grade Level and Gender
NUMBER OF EMPLOYEES
300 r—
250 —
200 —
150 —
100 —
123156789 10 11 12 GS-13 GM-13 GS-14 GM-14 15 SES PHS
NUMBER OF EMPLOYEES BY GRADE LEVEL
MEN WOMEN
Not including Regional Counsel
254
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VO
o\
REGION II PROFILE
FISCAL YEAR 1994
100%
80%
60%
40%
20%
GRADE LEVEL
EACH GRADE LEVEL
SUMS ACROSS TO 100%
oES
100%
80%
60%
40%
20%
0%
WHITE MEN
WHITE WOMEN
MINORITY WOMEN
MINORITY MEN
Not shown is the one GS-10
Employee -• a minority male.
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Appendix D
Summary of
National Performance Review
Recommendations
pertaining to
EPA
97
-------
¦o
<©
»NPR Highly Rated Recommendations - Subject Sort ••
Sab.
Rtr.
Impta wanting
C»rp.
Cod*
Rtcommmdalleit Summary Till*
No.
Lead Oflke
No.
Award*
FBccKniiton
AR
Quality Wert Duerru Recognition lo« u "Glitzy" Projects Do
R37
OARM
2
AR
Resulu of Awards Plomain Should be Made Public
R43
OARM
2
EbtItm
mental Justice
El
Indian Haum Action Plan (see R05)
R30
OA
2
El
Incarnate racial, ethnic, economic Jt cultural dw into scientific assessments of health Impacts
R32
OA
2
ei
Develop an Environmental Justice Action Plan
R16
OARM
1
El
R46
OARM
2
El
Ooiretdi teCnawnli Conatnatiites. Native American Tribes A U.S. Territories
R4g
OARM
2
El
Incorporate wwnmwiwtal juMica In alf EPA operations
EPA9I
OARM
3
El
hepaa annual report on ptugiess of ai'imiiniMl Justice (new recommendation)
EPA9.2
OARM
3
El
Target Compliance lo IVwUt Native Americans, Minorities, Low Income
R»
OE
2
Koforfftmr nl RrorranlattoB
ENF
Initiate enforcement reorganization (well in lo implementation phase)
EPA 1 I.I
OE
3
Goaiii
EDM PrPtttHPU
EP
rfMKRVMI UCO|iipVIK miCTTHWOW JjsMVn
R47
OARM
2
EP
Matti-media Enforcement Approach
R52
OE
2
EP
tm haling Eeolotical Considerations in Enforcement Action*
R53
OE
2
EP
tiuDtmul Implementation of NEPA
R54
OE
2
EP
cco>nms roney duranniicftHttuiiii uiipvciinviuioA nnVriO|iiRi /uuviiiti
R1S
OPPE
1
EP
Local OeonmiMc Initiatives to Enhance or Mimtain Critical Ecosystems
RSS
OPPE
2
EP
Assess Secondary CBmalatfve Impacts on Ecosystems Resulting from Permit Actions
R39
OPPE
2
EP
Revise Executive Order 12291 on Coat-Benefit Analysis
R6I
OPPE
2
EP
Addressing Scientific Information Oaps
R67
ORD
2
Extramural RcSOUTCa
ER
Flexibility with Exnmvsl and Intramural Resources (White House 0EPA8.4)
R02
OA
1
ER
Impiemewl performance standards far contract management
EPA0.I
OA
3
ER
Institutionalize oversight recommendations of outside reviewers
EPA0.2
OA
3
ER
Maximize competition in contracting process
EPAi.3
OA
3
EBYlronnmtel Twhnnlotnr
ET
Reinvention Lab for Eii»iiwintnul Tech. Verification Program
RS7
OPPE
2
ET
Develop an Action Ptat for Agency
R60
OPPE
2
ET
Competitions to Encoonge New Technology
R62
OPPE
2
ET
Develop regulatory Inyiovcinent and technology innovation plan
EPA5.I
OPPE
3
ET
Expand todawtogy financing through pilot programs
EPA52
OPPE
3
ET
Establish fin partnerthipa for industry to test and evaluate technoloittes
EPA54
OPPE
3
ET
Eitablish cnaiiuraneisal technology performance verification program
EPA3.5
OPPE
3
Appendix A, version 1.0
Daoe 1
-------
o
o
••NPR Highly Rated Recommendations - Subject Sort»
SuW.
Rk.
Implementing
Grp.
Code
Recommendation Summary Title
No.
Lta40flk«
No.
ET
Partnerships with Industrie* lo Re-engineer Products A Processes
R2I
OPPTS
1
ET
Reinvention Lab lo Facilitate Permits of Innovative Technology
R2S
Permits Task Force
1
Financial ManaSCfllfnl
FM
Long Term IFMS Impwriunt
ROT ¦
OARM
1
FM
Shorten Time to Receive Funding After Operating Plan
R34
OARM
2
FM
Flexibility at OMB and Congress
R36
OARM
2
intcuia
IC
SLC Makes Communicttiora a Priority
ROI
OA
1
IC
Articulate Agency's Vision and Mission (Leadership Team Reconneialstion)
R2S
OA
2
IC
Make E-Mail User Friendly
ROT
OARM
1
IC
Review Orecn Border f*ocess (Leadership Team recommendation)
ROI
OARM
1
IC
Administrator's Mandate of Increased Use of E'Mail
R33
OARM
IC
Agency Contrminiciiion Strategy for the NPR
R3S
OARM
2
imcrEOYfirnmtDtri Eartntrshin
ip
Build Tribal Partners hips. Capacity, Empowerment
ROS
OA
1
ip
Promote a Network of Data Highways
RI9
OARM
1
ip
Foster Regional Bond Banks to Finance infrastructure/Sponsor Chanvttes
R44
OARM
2
ip
State Pilot Project*: New Ymk, Massachusetts A Ohio
R22
OROSLR
1
ip
Amend regulations deemed burdensome (or local goneimtM.nl
EPAI.I
CHIOS L*
3
ip
Convene town meetings Mtalidi iifmi to ttfonns
EPAI.2
CHIOS LA
3
ip
EsltbIM a pilot project to assess health risks a»d prioritize resources
EPA1J
orosla
3
ip
Promote Sltlc/EPA Dialogue on Nonpoirt Source Program
R«
ow
2
LP
Facilitate Restoration of Cowaminatefl Properties
RT2
RegionS
2
Management and LradtfSbtP
ML
Establish 3% Funding Ooal lor Succession Planning ft Development
RIO
OARM
1
ML
Annual Subordinate Feedback Requirements for all Supvs./Mgrs./Eiiecs.
RI3
OARM
1
ML
MgnuiLdrship. Perf. Expectations Primary Basis for SupvyMgr/Eiec. Ptrfonnance Agrmnt.nl
R39
OARM
2
ML
Model Manager Conumnitc at ions/Awareness Strategy
R4I
OARM
2
Plannin
and BudecMn*
PB
btvestigue Improvements Beyond Agency's (Planning A Budgeting) Span of Control
R27
OA
2
PB
Integrate Financial Mansgemenl, Planning A Budget
R49
OARMA3PP6
2
PB
Articulate Planning and Bugeting Process
R50
OARM/DPPE
2
Position Qasslficattou
PC (Simplify Position Descriptions White Maintaining Legal Sufficiency
RI2
OARM
1
Appenc version 1.0
P-*«»2
-------
|~NPR Highly Rated ReconHnendalions - Subject Sort •• I
I Smb. I
l
Rcc.
Implementing
Grp.
Cod*
Recommendation Summary THk
No.
Lead Office
No.
[Pesticides Eunrft Manarrmenl I
PE
Stoo the export of pesticides banned in the U.S. I
EPA6.1
OPPTS
3
PE
I
i
8
£
EPA6.2
OPPTS
3
PE
Interagency technical assistance internationally fo* pesticide use
EPA6.3
OPPTS
3
Perform
ance Management
PM
Refocns the Philosophy of Performance Management
R14
OARM
1
I Pollution Prevention
pp
Dernonttnto i Commitment 10 P.P. in All EPA Internal Operations
R45
OARM
2
pp
Harness Enforcement Activities lo Promote Pollution Prevention
R5I
OE
2
pp
Integrate P.P. into Every Regulation. Policy A Guidance Document
RI9
OPPE
pp
Develop and promote monograph* for pollution prevention
EPA5.3
oppe
3
pp
EmbliA pwtnenhips to re-engineer protesaes
EPA5.6
OPPE
3
pp
hiiyrow Binding for Poihtiian Pitvuuioii Activities by State*
R63
OPPTS
2
pp
Promote Pollution Prevention Through Procurement of Ooodh and Services
R64
OPPTS
2
pp
Integrate Pollution Prevention into Muhi-media Pilot Projects
R6S
OPPTS
2
pp
Include total multimedia releases summary in pieambte to each major role
EPA3.I
OPPTS
3
pp
EPA rinuld «aa ita flexibility to adjust teg. timetables so thai rules are proposed on the tame date
EPA3.2
OPPTS
3
pp
Change reporting requirements to foster greater federal-tuie cooperation
EPA3.3
OPPTS
3
pp
Oreater uae of block grant approach for states using EPA bomb
EPA3.4
OPPTS !
3
pp
Provide state* incentives fat water conservation and pollution prevention
EPA3J
OPPTS
3
pp
Undertake specific industry sector far pollution prevention strategies
EPA3.6
OPPTS
3
pp
Strengthen private aector labelling and standards programs
EPA3.7
OPPTS
J
pp
Develop an interagency national strategy for efficient ue of pesticides and fcrtilizeia
EPA3.8
OPPTS
3
pp
Develop a pin to implement Executive Orders on pollution prevention
EPA3.9
OPPTS
3
pp
Create a databaae for pollution prevention strategies (old f 3.11)
EPA3.I0
OPPTS
3
pp
EPA 4wu)d earmark for environmental! protection technology (old 03.12)
EPA3.II
OPPTS
3
pp
Targe* tiiviiutweiml technology initiative funds for technical assistance (old #3.13)
EPA3.I2
OPPTS
3
pp
Wort with Stales on Pollution Prevention at High Management Level
R68
OROSLR
2
pp
Develop Demand-Side Management Strategy for Municipal Water Pi ogams
R70
OW
2
pp
Provide Pen nit nexibility to Encourage Pollution Prevention
R7I
Permits Task Force
2
-------
-NPH Highly Rated Recommendations - Subject Sort ••
"
Sub.
Rec.
Implementing
Grp.
Code
Recommendation Summary Title
No.
LndOKkt
No.
Permit Streamlining
PS
Enable binov alive Approaches lo Permitting
R04
OA
1
PS
Measuring the Environmental Success of Permits Programs
R3I
OA
1
PS
Target Permit Priorities
R23
PermilsTask Force
1
PS
Encourage * State/EPA Joint Approach lo Administrative Streamlining
R24
Permiis Task Force
1
PS
Establish a renol story clearinghouse as a single point-of-contact
EPA2.1
PermilsTask Force
3
PS
Authorize qualified stales control of permits
EPAIJt
Pesraata Task Fates
3
PS
Identify sua uu* arfckh prevent Aeii bi E ty
EPAll
Permits Task Force
3
PS
[VnekpcHWiirwnptnnilindtina system pilot
EPA2.4
Fenruts Teak Force
3
Quality Management
QM
Reinforce Quality - Inctnsiaaof a Reipect for People and a Focus on our Customer*
R26
Customer Service Task Fon
2
QM
Involve Othcss by Scckint Input Early ft Often from Receivers of ScrviceyProducts
R40
OARM
2
QM
Implement Dele Rated Authority in Dsily Operations Makini Decentralization Work
R42
OARM
2
QM
Set and Work Towards Environmental Goals
R56
OPPE
2
QM
Draft measurable environmental goals
EPAT.t
OPPB
3
QM
Prepare measurable internal goals
EPA7.2
OPPE
3
QM
Develop performance measures and strategies
EPA7.3
OPPE
3
OS
Quality Science as a Continain* Policy Objective/Promote Scientific Excellence
R03
OA
1
QS
Prioritization of IntraAgency Coatntuatcatioa aad Coonfination (scientific activities}
ROT
OA
2
QS
Establish professional devetopmeai guidelines for technical and scientific tltlf
EPAIOJ
OA
3
OS
Expand peer review and quality assurance
EPA 10.2
OA
3
OS
Assess RAD labs
EPA 10.3
OA
3
QS
Improve scientific comraunicatiun
EPA10.4
OA
3
OS
Preparation of Policy Makers and Scientists for Science/Policy Interface
R06
OAR/ORD
1
OS
Management of Differentia! Risks
R66
ORD
2
Rerulalon Development
|
RD | Improve Regulatory Development Process (Entire Pickigt of Proposals)
Workforce CanadlT
Kiu
Urro
wc
Develop Ongoing Feedback System
Rll
OARM
1
wc
Reassign to Hon-Mgmt. Positions After Consecutive Negative Reviews
R38
OARM
2
wc
Flatten Management Hierarchy lo Provide Opportunities for Staff Growth. Learning A Efficiency
R73
Streamlining Task Force
2
Workforce Dircraitv
WD |Qusrterly Reviews by Administrator of Plufftu Against WorWtwce Diversity Ootli
RI7
OARMUOCR.
1
Water Pollution Reduction.
WP
Amend Cteaa Water Actio estcouraRe market-based approaches
EPA4.1
OW
3
WP
Establish water potttitiort discharge fees
EPA4.2 IOW
3
Appendix A, version 1.0
page *
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