# Presentation: 027672

## PERFORMANCE MANAGEMENTIN THEDIVISION OF COMPLIANCE MANAGEMENT

**OFFICE OF SURFACE MINING**
**DEPARTMENT OF THE INTERIOR**
**AUGUST 28, 2001**

## SURFACE MINING CONTROL AND RECLAMATION ACT

**Protect people and the environment during current coal mining operations, and ensure the land is restored after mining has ceased, and**
**Provide a cleaner and safer environment by reclaiming and restoring land and water degraded by past mining.**
**Coal companies pay a fee on each ton of coal mined to finance the latter reclamation efforts**
**DCM ensures that companies comply, using audit and other compliance processes**
**Compliance staff located in 13 offices throughout the major coal-producing states.**

## 1995:  The impetus for change:

**Administration mandate to achieve a 1:15 manager to staff ratio**
**Requirement to improve effectiveness with fewer resources**
**Selection as pilot program under the Government Performance and Results Act**

## BUDGET AND PERFORMANCE INTEGRATION

**“****Government should be results-oriented ---- guided not by process, but guided by performance.  There comes a time when every program must be judged either a success or a failure.  Where we find success, we should repeat it, and make it the standard.  And where we find failure, we must call it by its name.  Government action that fails in its purpose must be reformed or ended.”**
**Governor George W. Bush  **

## Slide 5

## STEP 1:  Establish outcome-based mission, vision, and goals, integrated with OSM’s strategic plan and employee performance plans.

_**Mission**_**	****Provide reasonable assurance that coal operators are complying with SMCRA’s reclamation fee provisions so State, Tribal, and Federal reclamation programs have a source of funds for better AML reclamation to enhance the public health, safety, and general welfare.**

## Strategy	To provide assurance, DCM will provide guidance to operators on how to avoid non-compliance, conduct a comprehensive audit program, and identify and assess the liability of those that fail to comply.  DCM will also provide audit and related expertise to assist other regulatory authorities in their SMCRA implementation efforts.  By emphasizing compliance over enforcement, overall program costs will be minimized and customer relations improved.

## Vision	In conducting our work, we will emphasize prevention and strive to maintain compliance at high levels.
In dealing with operators, we will provide guidance on fee compliance requirements, and clearly explain how non-compliance can be avoided or corrected.  We will also adhere to the highest professional standards in working at the operators’ facilities, complete our work in a timely manner, provide the operators full explanation of the findings before departing the audit site, and offer the operators every reasonable means to have any disagreements with the findings objectively reviewed.

***In dealing with operators*****, we will provide guidance on fee compliance requirements, and clearly explain how non-compliance can be avoided or corrected.  We will also adhere to the highest professional standards in working at the operators’ facilities, complete our work in a timely manner, provide the operators full explanation of the findings before departing the audit site, and offer the operators every reasonable means to have any disagreements with the findings objectively reviewed.**

## In assisting other SMCRA enforcement units, we will respond promptly to requests for audit and other assistance.
In responding to requests from coal citizens and other members of the public, we will fully adhere to OSM’s customer service standards.
In maintaining the necessary audit staff, we will emphasize continuing education and development, and foster a training program that enables the staff to conduct their work in accordance with government auditing standards.

***In responding to requests from coal citizens***** and other members of the public, we will fully adhere to OSM’s customer service standards.**
***In maintaining the necessary audit staff,***** we will emphasize continuing education and development, and foster a training program that enables the staff to conduct their work in accordance with government auditing standards.**

## DCMALIGNING EMPLOYEE PERFORMANCEWITH ORGANIZATIONAL PERFORMANCE

_**SMCRA**_**	****Conduct such audits as may be necessary to ensure full compliance with the law’s reclamation fee provisions.**
_**ORGANIZATIONAL GOAL – BETTER OPERATIONS**_**  Improve OSM’s operations through effective and efficient management of human and fiscal resources to facilitate reclamation of abandoned mine lands, and to protect the environment, people, and property, during and after mining.**

## PERFORMANCE GOAL/MEASURE    Maintain a 99% reclamation fee compliance rate, as measured by the accuracy of tonnage reported and audited.
DIVISION CHIEF CRITICAL RESULTS   DCM is managed to ensure the reclamation fee audit program is accomplished in accordance with established standards and procedures.
REGIONAL MANAGER CRITICAL RESULTS  Audits are completed commensurate with available resources, in accordance with established policies and procedures, and reflect an acceptable level of quality in the reports and workpapers.
AUDITOR CRITICAL RESULTS   Plans and conducts assigned audits in accordance with DCM policies and procedures.  Time spent is commensurate with assignment complexity.

_**DIVISION CHIEF CRITICAL RESULTS**_**   DCM is managed to ensure the reclamation fee audit program is accomplished in accordance with established standards and procedures.**
_**REGIONAL MANAGER CRITICAL RESULTS**_**  Audits are completed commensurate with available resources, in accordance with established policies and procedures, and reflect an acceptable level of quality in the reports and workpapers.**
_**AUDITOR CRITICAL RESULTS**_**   Plans and conducts assigned audits in accordance with DCM policies and procedures.  Time spent is commensurate with assignment complexity.**

## STEP 2:  Construct employee performance plans that reflect and support organizational goals and provide a basis for recognition.

**Used employee/management team to develop individual performance standards.**
_**All**_** employees given opportunity for input into the team’s deliberations and recommendations.**
**Produced **_**outcome**_**-based standards.**

## STEP 3:  Incorporate self-directed work teams into the organizational structure.

**Objectives:  improve manager/staff ratio, and motivate staff to be more involved in operations and accountable for performance.**
**Used consensus approach among managers and supervisors to go from 9 to 3.**

## Training was a must
		- All employees trained on operating in a 	 	  self-directed team environment.

		- Followed up with training sessions for
		  individual teams.

		- Trainer/facilitator available as needed by
		   teams.

**	****	****- All employees trained on operating in a ****	**** ****	****  self-directed team environment.**
**	****	****- Followed up with training sessions for**
**	****	****  ****individual teams.**
**	****	****- Trainer/facilitator available as needed by**
**	****	****   ****teams.**

## STEP 4:  Train managers in coaching skills, and provide them with employee feedback.

**Giving and receiving feedback.**
**	****- Thorough exploration of how manager’s actions affected the workplace, their colleagues, and their staff, incorporating a self assessment and structured feedback from a sample of employees.**

## 360-Degree feedback
	- All employees given opportunity to provide anonymous, or direct if they wished, feedback on their manager’s job performance, interpersonal skills, supervisory responsibilities, and leadership.

**	****- All employees given opportunity to provide anonymous, or direct if they wished, feedback on their manager’s job performance, interpersonal skills, supervisory responsibilities, and leadership.**

##                                Division of Compliance Management                                         360 Degree Feedback Feedback Receiver ______________          ____Date _________ You are one of several individuals who will be giving valuable input to this employee on his/her performance.  Your individual responses will remain anonymous; only composite information from all raters will be provided to the employee. What is your relationship to the individual to whom you are providing feedback?              Supervisor				Colleague/Peer           Team Leader				Direct Report

## Below is a list of responsibilities the recipient is expected to fulfill in performing her/his job.  Please circle the appropriate performance score for each area of responsibility, with 10 being the most skilled and 1 being the least skilled.  A list of activities for each responsibility area is also provided to aid in your assessment.  Place a check mark in front of any activity in which you think improvement is needed. N = No Knowledge

## JOB PERFORMANCE1.  Utilization of Resources                                     	N 1 2 3 4 5 6 7 8 9 10 ______ Makes efficient use of funds, time, and personnel to accomplish goals.______ Plans, organizes, and prioritizes work to accomplish goals effectively.______ Gets good return out of available resources. Comment                                                                                                                                                                                                                                                                2.  Responsibility and Accountability			N 1 2 3 4 5 6 7 8 9 10 ______Willingly accepts personal responsibility for individual and group             assignments.______ Is accountable to others for a given assignment’s progress, issues and results.______Admits mistakes.______Can be counted upon to discharge duties and conduct assignments.______Follows through on personal commitments (i.e. keeps promises). Comment 

## Quality of Work Results			N 1 2 3 4 5 6 7 8 9 10______ Delivers impressive, high quality products and services.______Work is accurate, thorough and complete.______ Demonstrates high productivity.______ Demonstrates the ability to accept and successfully carry out              additional  assignments and duties.______ Met expectations with regard to individual work goals. Comment 

## 	8. Dedication to Work Group Excellence	N 1 2 3 4 5 6 7 8 9 10______ Helps establish, supports, and contributes to group goals.______ Tests for everyone=s agreement and commitment to decisions                                                                                               	            reached in the group.______ Places goals of the organization above personal gain.______ Encourages staff development and training.______ Provides useful feedback to group members and is accessible for job 	            related  problems.Comment 9.Working Together			N 1 2 3 4 5 6 7 8 9 10 ______ Actively promotes and participates in group activities and goals.______ Creates an atmosphere that encourages cooperation.______ Shares credit and recognition with others.______ Distributes work evenly and fairly. Comment 

## 12.  Communication				N 1 2 3 4 5 6 7 8 9 10______Creates written documents that are clear, accurate, concise, and  grammatically 	correct.______ Speaks in a clear, concise manner in a variety or settings; provides relevant                                                                                                                                                                                                                                                                                                                                                                                                                                                     	accurate information.______ Practices attentive, active, and patient listening; respects the opinion of  others.______ Is open and candid in dealing with others.______Tries to understand how others are feeling and works hard at getting                             	information from them that will aid in revealing those feelings.______ Helps others participate and works to support and draw everyone into the                   	group=s discussions.Comment                                                                                                                                         13.  Respect for Self and Others			N 1 2 3 4 5 6 7 8 9 10______ Demonstrates integrity - is seen as a direct, honest, and trustworthy  	individual.______ Acts in an ethical manner - is committed to doing what is right.______  Supports zero tolerance for discrimination; promotes diversity of thought                    	and participation.______ Works in a safe manner; shows concern for self and others and the 	environment. ______ Hears, respects, and accepts the comments and reactions of others.Comment 

## SUPERVISORY RESPONSIBILITIES/LEADERSHIP (Only for evaluation of supervisory personnel14.  Management					N 1 2 3 4 5 6 7 8 9 10______ Consistently executes policies and directions of Senior Management.______ Effectively manages resources to meet organizational goals.______ Empowers employees by actively delegating responsibilities and authorities.______ Manages conflicts and disagreements in a fair and rational manner. Comment                                                                                                                                            15.  Leadership					N 1 2 3 4 5 6 7 8 9 10______ Communicates goals and priorities of the organization.______ Promotes the flow of information up, down, and across the organization.______ Provides input to the organization goals during the planning processes.______ Is forward thinking - encourages new concepts and ideas. Comment 

## Please provide specific information on any item above.  Try to think of win win situations.Please offer any suggestions you may have for improving this feedback process.  Feel free to mark up the document itself or write your specific ideas on either the topics addressed or the wording of the criteria for each one. Thank you for your honest and open feedback. 

## 	                                                     DCM	                                       360 Degree Feedback	                                     -- Response Summary --                                                                                        No. Of ResponsesJOB PERFORMANCE		N    1    2    3    4    5    6    7    8    9    10    Ave.1.  Utilization of Resources2.  Responsibility & Accountability3.  Meeting Deadlines4.  Knowledge, Skills, & Abilities5.  Quality of Work Results ORGANIZATIONAL VALUES6.  Customer Focus7.  Creativity and Innovation8.  Dedication to Work	Group Excellence9.  Working Together

## INTERPERSONAL SKILLS10. Taking Initiative11. Professionalism12. Communication13. Respect for Self and Others SUPERVISORY RESPONSIBILITIES/LEADERSHIP14. Management15. Leadership16. Coaching17. Organizational Atmosphere

## STEP 5:  Share performance and other information at all levels.

**Opened up data base of all individual work projects to all employees.**
**	****- Number of work units completed and in progress**
**	****- Calendar days and staff hours required to complete**
**         ****each project.**
**	****- Results produced**
**Designed reports to show how each team and region is performing**

## STEP 6:  Reassess what customers view as most important, and determine how well those needs are being met.

**Outreach:  meeting with industry organizations and individual companies on their concerns.**
**Customer service standards:  Clear goals for all employees to meet.**
**Surveys:  external-post audit discussions with ****	****	****	****companies**
**	****	****       ****internal-assessing service delivery to those ****	****	****	****who receive our work**

## STEP 7:  Provide continual reporting on results.

**Audit Information Management System**
**	****- Variety of reports available to staff monthly,****	**** quarterly and annually.**
**	****-  Can be sorted by organizational unit.**
**	****-  Data available on line.**
**	****-  GPRA measures reported quarterly.**
**	****-  Annual report.**

## STEP 8:  Recognize superior performance, and develop plans for improving performance.

_**Minimum**_** of three individual performance reviews each year.**
**Heavy use of E-mail and periodic group meetings.**
**Varied means of recognition**
**	****	****-  Cash**
**	****	****-  Time off**
**	****	****-  Preferential assignments**
**Recognition for meeting both individual and team goals.**

## RESULTS

**99% compliance rate**
**100% customer satisfaction rate**
**96% first-time issue rate**
**5 consecutive years of productivity improvement**
**OIG report that the program is conducted efficiently and effectively**

## Ongoing Work 

Training – managers and staff
Reassessing employee motivators

Guiding Thoughts
What gets measured gets done.
Do a little, learn a little.

**Training – managers and staff**
**Reassessing employee motivators**
_**Guiding Thoughts**_
**What gets measured gets done.**
**Do a little, learn a little.**

## WHAT MOTIVATES ME AT WORK?

**_____1.  Receiving feedback on my performance**
**_____2.  Being treated fairly**
**_____3.  Working as part of a team**
**_____4.  Having a knowledgeable boss**
**_____5.  Developing new ideas**
**_____6.  Freedom on the job**
**_____7.  Interacting with other divisions/groups**
**_____8.  Being aware of the penalties for failure**
**_____9.  Having the opportunity for promotions**
**_____10. Working under close supervision**

## _____11. Having a steady paycheck
_____12. Performing meaningful work
_____13. Having job or work flexibility
_____14. Awards/Bonuses
_____15. Having the opportunity to test my skills
_____16. Being part of the planning process
_____17. Not taking work home
_____18. Achieving goals I set for myself
_____19. Enjoying good working relationships
_____20. Having the freedom to use my annual leave or 		other fringe benefits

**_____12. Performing meaningful work**
**_____13. Having job or work flexibility**
**_____14. Awards/Bonuses**
**_____15. Having the opportunity to test my skills**
**_____16. Being part of the planning process**
**_____17. Not taking work home**
**_____18. Achieving goals I set for myself**
**_____19. Enjoying good working relationships**
**_____20. Having the freedom to use my annual leave or ****	****	****other fringe benefits**