Table of Contents - Minnesota Pollution Control Agency · VOCs Volatile organic compounds ... (ERMS) for Measurement and Comparative Selection Process. Fig. 4.1-2: ... Lab Compliance

MPCA 2016 PEN Application p-ac17-01b3 1-9-2017

Table of Contents Glossary…………………………………………………………………..…………………………………………………………………………………………… .... i

Organizational Profile……………………………………………………...…………………………………………………………………………………..OP1

Category 1: Leadership ............................................................................................................................................................................ - 1 -

1.1 Senior Leadership.................................................................................................................................................................... - 1 -

1.2 Governance and societal responsibilities ........................................................................................................................ - 3 -

Category 2: Strategy .................................................................................................................................................................................. - 5 -

2.1 Strategic Development Process .......................................................................................................................................... - 5 -

2.2 Strategy implementation ...................................................................................................................................................... - 7 -

Category 3: Customers.......................................................................................................................................................................... - 10 -

3.1 Voice of the customer......................................................................................................................................................... - 10 -

3.2 Customer Engagement ....................................................................................................................................................... - 11 -

Category 4: Measurement, analysis, and knowledge management ...................................................................................... - 12 -

4.1 Measurement, Analysis, and Improvement of Organizational Performance ................................................... - 12 -

4.2 Knowledge management, information, and information technology ................................................................ - 15 -

Category 5: Workforce.......................................................................................................................................................................... - 18 -

5.1 Workforce Environment..................................................................................................................................................... - 18 -

5.2 Workforce Engagement and Performance .................................................................................................................. - 22 -

Category 6: Operations.......................................................................................................................................................................... - 25 -

6.1 Work Processes..................................................................................................................................................................... - 25 -

6.2 Operational effectiveness………………………………………………………………………………………………………….- 28-

Category 7: Results…………………………………………………………………………………………………………………………………..…………- 30-

7.1 Product and Process Results……………………………………………………………………………………………………………….- 30-

7.2 Customer Focused Results………………………………………………………………………………………………………………….- 37-

7.3 Workforce Focused Results…………………………………………………………………………………………………………………- 39-

7.4 Leadership and Governance Results……………………………………………………………………………………………………- 42-

7.5 Financial and Market Results………………………………………………………………………………………………………………- 46-


i

Glossary: Terms

A

A Analysis

AA Affirmative Action ABSTM Administrative Business Systems Management

D

DART

DAWII

DD

DMADV

Days Away, Restricted and Transferred

Days Away from Work Injury or Illness

Division Director

Define, measure, analyze, design, verify Team

AFSCME American Federation of State, County, and

DMAIC Define, measure, analyze, improve, control

Municipal Employees DNR Minnesota Department of Natural Resources

AD&D Accidental death & dismemberment E

ADA Americans with Disabilities Act EAP Employee Assistance Program

ADM Minnesota Department of Administration ECHO Enforcement and Compliance History Online

AED Automated external defibrillator EEO Equal Employment Opportunity

AOS Available on site EEOC Equal Employment Opportunity Commission

AQI Air Quality Index ENPPA Environmental Performance Partnership B

Agreement

BP Business plan

EPA Environmental Protection Agency

BPAS Budget Planning Analysis System

EQuIS Environmental Quality Information System

C

ERMS Environmental Results Management System

C&E Compliance and enforcement

ERMT Environmental Results Management Team

CAFO Concentrated Animal Feeding Operation

F

CC Core competency

FLSA Fair Labor Standards Act

CEDR Consolidated Emissions Data Repository

FML Family Medical Leave

CFO Chief Financial Officer

FSA Flexible Spending Account

CFOs County feedlot officers

FSMT Fiscal Services Management Team

CI Continuous Improvement

FTE Full-Time Equivalent Position

CLP Closed Landfill Program

FY Fiscal Year

CSA Community-Supported Agriculture

G

CIMT Continuous Improvement Management Team

GAAP Generally Accepted Accounting Principles

CRC Customer Research Coordinator

GHG Greenhouse Gas

COOP Continuity of Operations Plan


ii

GOAL 21 Shared Goals, Focus on Outcomes, Situational Alliances, Learning Organization for the 21st Century

GPRA Government Performance and Results Act

GLNPO Great Lakes National Program Office

H

HCSP Health Care Savings Plan

HR Human Resources

HRMT Human Resources Management Team

HW Hazardous waste

I

IDF Injury, Illness, and Incident Data Form

IS- Information Systems

ISMT Information Systems Management Team

ISTS Individual sewage treatment systems

IWM Intensive watershed monitoring

K

KM Knowledge management

M

M Measurement

MAPE Minnesota Association of Professional Employees

MEI Minnesota Environmental Initiative

MEP Minnesota Environmental Partnership

MMB Minnesota Management & Budget

MMSW Mixed municipal solid waste

MSW Municipal solid waste

MN Minnesota

MN.IT Minnesota Information Technology

MnSAFE Safety Accountability from Everyone (statewide workplace safety initiative for employees of the State of Minnesota)

MPCA Minnesota Pollution Control Agency

MSRS Minnesota State Retirement System

N

NACAA National Association of Clean Air Agencies

NGO Non-governmental organization

NPDES National Pollutant Discharge Elimination System

O

O&M Operation and maintenance

OIU Organizational Improvement Unit

OSHA Occupational Safety and Health Administration

P

P2 Pollution prevention

PBP Petroleum Brownfields Program

PDCA Plan-Do-Check-Adapt

PDSA Plan-Do-Study-Adapt PFC

Perfluorinated chemicals

PP Program plan

PPE Personal protective equipment

PPG Performance Partnership Grant

Q

QAPP Quality Assurance Project Plan

R

RBA Results-Based Accountability

RCRA Resource Conservation and Recovery Act

S

SA Strategic advantage


3

SBEAP Small Business Environmental Assistance Program

SC Strategic challenge

SEGIP State Employee Group Insurance Program

SEMA4 Statewide Employee Management System

SL Senior Leader

SMT Senior Management Team

SNC Significant non-compliance

SOP Standard operating procedures

SP Strategic plan

SPP Strategic planning process

SWIFT Statewide Integrated Financial Tools

T

TMDL Total maximum daily load

TRIR Total Recordable Incident Rates

U

USEPA United States Environmental Protection Agency

V

VIC Voluntary Investigation and Cleanup

VOC Voice of the customer

VOCs Volatile organic compounds

VSQG Very small quantity generator

W

WC Workers Compensation

WCAG Web Content Accessibility Guidelines

WD Watershed Division

WP Work plan

WRAPS Watershed Restoration and Protection Strategies

WW Wastewater

WWTP Wastewater treatment plant

WWW World Wide Web Consortium

Glossary: Key Figures

Key Process Figures

Organizational Profile

Fig. P1-1: MPCA Vision, Mission and Values

Fig. P1-2: Workforce Profile

Fig. P1-3: Workforce Groups

Fig. P1-4: Engagement Factors

Fig. P1-5: Regulatory Oversight

Fig. P1-6: Key Customer Groups and Requirements

Fig. P2-1: Strategic Context (Strategic Advantages and Challenges

Fig. P2-2: MPCA Performance Improvement Methodology (PDSA/DMAIC)

Fig. P2-3: Examples of Key Cycles of Evaluation and Improvements

Leadership

Fig. 1.1-1: Key Communications Methods

Fig. 1.2-1: Leadership and Organizational Management Calendar

Fig. 1.2-2: Governance System

Fig. 1.2-3: Ethical Behavior Processes and Measures

Fig. 1.2-4: Community Support

Strategy

Fig. 2.1-1: MPCA Strategic Planning Process and Cascade to Business and Program Plans

Fig. 2.1-2: Strategic Planning and Workplan Cascade

Fig. 2.1-3: Strategic Considerations: Standard Questions

Fig. 2-14: MPCA Strategic Objectives Matrix


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Customer

Fig. 3.1-1: Customer Communications Methods

Fig. 3.1-2: VOC Process

Measurement, Analysis and KM

Fig. 3.1-3: Customer Engagement Surveys

Fig. 4.1-1: Environmental Results Management System (ERMS) for Measurement and Comparative Selection Process

Fig. 4.1-2: Results Based Accountability Principles

Fig. 4.1-3: Key Financial Measures

Fig. 4.1-4: Performance Reviews and Frequency

Fig. 4.2-1: Knowledge Management Resources

Fig. 4.2-2: Information Technology Attributes

Workforce

Fig. 5.1-1: Workforce Hiring Process

Fig. 5.1-2: Workforce Planning Model

Fig. 5.1-3: Workforce Health & Safety Strategies and Goals

Fig. 5.1-4: Workforce Safety Goals and Measures

Fig. 5.1-5: Accessibility Strategies

Fig. 5.1-6: Workforce Policies, Benefits and Services

Fig. 5.2-1: Performance Management System

Fig. 5.2-2: Reward and Recognition Methods

Operations

Fig. 6.1-1: Key Work Systems, Key Work Processes and Support Processes, Requirements, and Measures

Key Result Figures

7.1 : Product and Process

Fig. 7.1-1 : Air Quality for the Twin Cities Area

Fig. 7.1-2 Air Point Source Emission Totals

Fig. 7.1-3 Days with Air Quality Alerts

Fig. 7.1-4: Progress on Next Generation Energy Act GHG Reduction Goal

Fig. 7.1-5 Water: Phosphorous into MN

Fig. 7.1-6 a and b: Long term Water Quality

Fig. 7.1-7: Percent of Watersheds with Monitoring and Assessment Reports Posted to Web

Fig. 7.1-8: Clean Water Fund Performance Report Milestones Achieved (Inter-agency)

Fig. 7.1-9: VIC and PBP # Response Rate within 30 Business Days

Fig. 7.1-10: Achieving EPA goals by 2020

Fig. 7.1 -11: Petroleum Remediation Site Clean-up History

Fig.7.1-12: Percent of Major Watersheds Monitored

Fig. 7.1-13: Lab Compliance Rate

Fig. 7.1-14: Percent of Watershed Chemistry Performed by Local Partners

Fig. 7.1-15: Pollutant Loading Trends from NPDES Wastewater Facilities

Fig. 7.1-16: Mercury Loading Trends from NPDES Wastewater Facilities

Fig. 7.1-17: Estimates on Mercury Emissions

Fig. 7.1-18: Actual & Projected Pollutant Mass Loading Over Time

Fig. 7.1-19 a and b: Permit Backlog by Program Type

Fig.7.1-20: Permit Timeliness

Fig. 7.1-21: Tons of Diesel PM 2.5 Reduction

Fig. 7.1-22: Waste Generation Rate

Fig. 7.1-23: Staff Satisfied with improved Contracting Process

Fig. 7.1-24: Compliance Rates

Fig. 7.1-25: Average # of Years to Complete WRAPS Reports

Fig. 7.1-26: Number of CI Projects Year over Year


5

Fig. 7.1-27: Improvement Projects Comparative for Region 5

Fig. 7.1-28: State of Minnesota CI Index Survey: CI Culture

Fig. 7.1-29: # of Processes documented and entered into Database

Fig. 7.1-30: Bill Receipting: Days to Post

Fig. 7.1-31: Bill Receipting: Unit Cost Per Check

Fig. 7.1-32: Workplace Emergency Drills

Fig. 7.1-33: Ave. # of Days to Develop Contracts

Fig. 7.1-34: Contract Quality

7.2 : Customer Focus

Fig. 7.2-1a: Business Assistance Unit Survey

Fig. 7.2-1b: Technical Assistance Benefits for Business

Fig. 7.2-2: Eco Experience Customer Satisfaction

Fig. 7.2-3: Visitors to Eco Experience Making Environmental Choices

Fig. 7.2-4: Visitors to Eco Experience Who Made Behavioral Changes

Fig. 7.2-5: Eco Experience Customer Engagement

Fig. 7.2-6: Complaints Tracker

Fig. 7.2-7: Number of hits for the Stormwater Wiki

Fig. 7.2-8: GovDelivery Engagement Rate

Fig. 7.2-9: Ask MPCA Results by Media

Fig. 7.2-10: Visitors to MPCA Website

Fig. 7.2-11: MPCA Webpages with highest hits

7.3 : Workforce Focus

Fig. 7.3-1: Workforce Capability and Capacity

Fig. 7.3-2: Employee Turnover

Fig. 7.3-3: Representation of MPCA Staff by EEOC protected group (Tracked monthly and reported annually)

Fig. 7.3-4: Reduced Wastewater Program Capability

Fig. 7.3-5: Workers Compensation

Fig. 7.3-6: Recordable Incident Rates

Fig. 7.3-7: Incident Severity Rates

Fig. 7.3-8: Worker Wellness Survey

Fig. 7.3-9: Employee Satisfaction and Engagement Results

Fig. 7.3-10: Eco Experience Volunteer Engagement

Fig. 7.3-11 a and b: GreenCorps Host Site-Related Feedback

Fig. 7.3-12: Promotions from Within

Fig. 7.3-13: Performance Review Completion

Fig. 7.3-14: Information Requests data

Fig. 7.3-15: Leadership-Staff Performance and Development Conversation Frequency

Fig. 7.3-16: Continuous Improvement Training Participation

7.4 : Leadership and Governance

Fig. 7.4-1: Training Dollars per Employee

Fig. 7.4-1: Employee Engagement Survey: Senior Leadership Accessibility

Fig. 7.4-2: State of MN CI Index Survey: Senior Leadership

Fig. 7.4-3: 2015 State of MN CI Index Survey: Management Comparison to Staff

Fig. 7.4-4: 2015 State of MN CI Index Survey: Plain Language Usage

Fig. 7.4-5: 2015 State of MN CI Index Survey: Results- Based Accountability (RBA) Usage

Fig. 7.4-6: Risk Assessments

Fig. 7.4-7: MMB’s Agency-wide Control Environmental Self-Assessment Tool

Fig. 7.4-8: State Emergency Operations Plan

Fig. 7.4-9: Staff Reviewing Security and Ethics Policies


6

Fig. 7.4-10: Staff Attending Ethics Training

Fig. 7.4-11: Employee Engagement Survey: SLs as Open & Honest

Fig. 7.4-12: HR Investigations, 2010-15

Fig. 7.4-13: Combined Charities Total Dollars Contributed

Fig. 7.4-14: Greenhouse Gas Generation by MPCA

Fig. 7.4-15: Total Fuel Purchased for MPCA Fleet

Fig. 7.4-16: MPCA Awards, Recognition and innovative Programs

Fig. 7.4-17: Strategic Plan Accomplishment

Fig. 7.4-18: Action Plan Accomplishment

7.5: Financial and Market

Fig. 7.5-1: Authorized Biennial Budget

Fig. 7.5-2: Budget vs. Actual Expenditures

Fig. 7.5-3: Managing Compensation Budget to Actual

Fig. 7.5-5: Managing Fund Balance—Environmental Fund

Fig. 7.5-6: Managing Fund Balance—Remediation Fund

Fig. 7.5-7: Billed vs. Collected Air Program Fee Receipts

Fig. 7.5-8: Program Cost Recovered

Fig. 7.5-9: Remediation Programs Budget Utilization

Fig. 7.5-10: NPDES Non-Compliance—Major Facilities

Fig. 7.5-11: Total Waste Release by State in Area

Fig. 7.5-12: 2013 MSW Disposal

Fig. 7.5-13: MN Waste Collection per Capita

Fig. 7.5-14: Total Waste Management over last 10 years

Fig. 7.5-15 Comparison with Minnesota’s Bio-Assessment program

Fig. 7.5-16: CAFO Permit Comparison Chart

Fig. 7.5-17: Progress toward meeting the 2025 Statewide Mercury TMDL goal

Fig. 7.5-18: Sites Cleaned Up and Delisted

Fig. 7.5-19: Ave. cost for EPA Region 5 LUST Programs

Fig. 7.5-20: Direct technical assistance prevents and/or reduces the amount of pollution general


OP

P.1. Organizational Description P.1.a. Organizational Environment P.1.a. (1) Product Offerings: Minnesota Pollution Control Agency (MPCA) ensures environmental protection and protection of public health for the State of Minnesota through a variety of products and services. Core products and services include: monitoring environmental quality and providing access to that data and information; setting standards, rules and policies that protect the environment and public health; providing assistance and education to prevent pollution; issuing permits or licenses and enforcing environmental regulations; finding and cleaning up contamination or pollution that affects our health and environment, and responding to emergencies. MPCA products and services are delivered directly to a wide spectrum of individuals, companies, governmental entities and non-profit organizations.

P.1.a. (2) Mission, Vision and Values: Our mission is to “protect and improve the environment and enhance human health” (Fig. P1-1) Senior Leaders have developed strong, consistent communication internally and externally about our environmental vision and goals in our 5-year strategic plan that underlie the work of our agency and regularly seeks feedback on the results. Our organizational vision, GOAL 21, was developed in 1996 as a proactive change in the way MPCA conducts its business for the 21st century, and it guides us yet today. MPCA’s mission is implemented through hiring and training for a set of two core competencies: Environmental Service Expertise and Knowledge; and Environmental Data and Analysis.

employees across agencies, including AFSCME, MAPE, Council of Engineers, Middle Management, Commissioner’s Plan and Managerial Plan. Unions negotiate contracts biennially. Key benefits include medical and dental insurance, health coaching, life, disability, and long-term care insurance, and pre-tax spending accounts. The Minnesota State Retirement System (MSRS) provides retirement benefits and administers a Deferred Compensation Plan and Health Care Savings Plan.

Fig. P1-4: Engagement Factors General Engagement Factors (All) Overall job satisfaction Recognition/career advancement Senior leadership Direct supervisor Coworker performance/cooperation Organizational effectiveness

P.1.a. (3) Workforce Profile: MPCA has a workforce of 915 employees (including permanent staff, temporary staff, and student workers) and over 1500 volunteers (Fig. P1-2). Notably, 23 percent of all staff will reach retirement age over the next four years. Employees are represented by various unions that represent State of Minnesota

Since 2006, MPCA has conducted an annual Employee Engagement survey (Fig. 7.3-9). Key factors that engage the workforce are listed in Figure P1-4. Volunteers for the Citizen Monitoring Program, the Minnesota State Fair Eco Experience and Green Corps are surveyed through the MPCA programs they serve (Fig. 7.3-11a & b).

P.1.a. (4) Assets: MPCA uses mission-critical systems managed by the State of Minnesota to conduct financial transactions and human resource actions. Accounts payable and accounts receivable are done in the Statewide Integrated Financial Tools (SWIFT). Staff build budgets using the Budget Planning and Analysis System (BPAS). Payroll and other HR transactions are managed in the Statewide Employee Management System (SEMA4) and the Recruiting Solutions application. Within MPCA, SLs identified several critical applications. Examples include electronic document

Fig. P1-2: Workforce Profile Gender 53% male, 47% female

Tenure <1 year 7%; 1-4 years 17%; 5-9 years 18%; 10-14 years 9%; 15+ years 48%

Employment Status

Permanent – 95%, Temporary – 5% (Permanent is Classified/Unlimited and Unclassified/Unlimited, Temporary is Classified/Temporary and Unclassified/Limited)

Geographic Distribution

Brainerd 7% Detroit Lakes 4% Duluth 6% Mankato 2% Marshall 2% Rochester 5% St Paul 74% Willmar 1%

Retirements Average 26/year (FY 2011-2015) 38 retirements projected for FY 2016

Ethnicity American Indian/Alaska Native 1% Asian 2% Black/African American 3% Hispanic/Latino 1% White 88% Not Specified/Unknown 5%

Fig. P1-3: Workforce Groups Administrative Technical/Professional Leadership Student workers/interns Delegated workforce Volunteers

Fig. P1-1: MPCA Vision, Mission and Values Vision

Clean Water, Air and Land support healthy communities and ecosystems, and a strong economy in Minnesota.

Mission Protect and improve the environment and enhance human health

Values People—We value and support a motivated, talented and diverse workforce. Leadership -- We set a vision of environmental and human health protection in an open, ethical, and accountable manner. Collaboration - We seek out and promote alliances because we value other’s knowledge, opinions and abilities. Outcomes – We measure our success by the environmental and public health outcomes achieved. Data Driven – Our decisions and policies are supported by data and analysis. Learning Organization – We promote innovation, learn from our mistakes, and strive to continuously improve our processes and outcomes.


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management, our agency website, What’s in My Neighborhood, and monitoring and emissions data. In 2012, a reorganization of all state IT services resulted in a new enterprise agency, Mn.IT, and we now identify these IT staff as MN.IT@MPCA. MPCA creates a service level agreement (SLA) each fiscal year to support our IT technology applications and provide IT services. The relationship with MN.IT@MPCA continues to evolve and develop.

MPCA leases offices throughout the state with the majority of staff located in the St. Paul Office, and about a quarter of staff located in offices in Duluth, Brainerd, Detroit Lakes, Rochester, Mankato, Marshall, and Willmar. MPCA deploys a mix of leased vehicles through the Department of Administration for general fleet use, and we own 27 field vehicles. MPCA emphasizes sustainability of our offices, facilities and fleet, illustrated in annual targets in a sustainability plan and dashboard results (more information AOS). MPCA owns and uses a wide variety of equipment for our fieldwork and, unique in the nation, we own or have operational control over 109 closed landfills that require cleanup actions, perpetual care and monitoring.

P.1.a. (5) Regulatory Requirements: MPCA is required to meet all state and federal laws and meet appropriate administrative requirements (Fig. P1-5). Processes are in place to keep current with, comply with and exceed the required laws, regulations and standards established by key regulatory organizations and Governor’s Executive Orders. Additionally, the MPCA implements federal environmental laws and regulations under EPA program delegations, funding and workplan agreements. MPCA may also implement state environmental laws that are more stringent than federal laws and regulations. MPCA is required under state law to implement environmental laws, to regulate the many organizations and individuals covered by the law and rules/regulations, and to offer support for actions that helps prevent pollution.

Staff work at locations that have the potential for hazardous safety conditions that requires them to be adequately trained for the various safety conditions that they may encounter. MPCA must assure that staff adhere to the appropriate OSHA regulations while performing their work. Safety and training has also been a focused improvement effort for the MPCA since2013. The MPCA has won the Governor’s Safety Award at various levels for the past 5 years (Fig. 7.4-16).

The MPCA voluntarily joined the Climate Registry in 2009, with the goal of reducing its greenhouse gas emissions, and is now helping other state agencies do the same. This requires the annual tracking of operational activities related to greenhouse gas emissions and reporting the appropriate data and information to the Climate Registry (Fig. 7.4-14).

P.1.b. Organizational Relationships P.1.b. (1) Organizational Structure: For 48 years a nine- member MPCA Citizens Board acted as the organization’s legislatively authorized decision making entity, with many

Fig. P1-5: Regulatory Oversight Regulatory Oversight by Function

Function Regulation Measure used to track Compliance (AOS)

State Laws 229 state laws (not including appropriations) apply to the MPCA and direct program operations.

21 standing reports are required by the Legislature to measure progress.

Environment al Protection Agency delegations

· Air Programs: Ambient Monitoring, Permit, Air Toxics, Compliance & Enforcement, Regional Haze, Rules, Etc.

· Water Programs: Monitoring, Permit, TMDL, C&E, Stormwater, Feedlot, etc.

· Land Programs: Solid Waste, HW Monitoring & Enforcement, RCRA, etc.

Environmental Performance Partnership Agreement (EnPPA) and funding (Performance Partnership Grant –PPG)

Employment Minnesota Management and Budget (FLSA, FML, ADA, Affirmative Action, EEO) and Compensation Classification

· Affirmative Action Plan

· MMB Compensation/ Classification Audits

· Veteran Hires

Emergency Management

Continuity of Operations Plan, Duty Officer

DPS review of 10 required elements of COOP.

Financial Government Accounting Standards

Scheduled Financial and Program Audits (Legislative Auditor), GAAP

Governor’s Executive Orders

14 Executive Orders (to date)

Inter-Agency Pollution Prevention reporting and MPCA Sustainability Dashboard

Reporting as required by Governor’s Office

Public Data and Information

Records retention, public records and information access for effective document knowledge transfer

· Staff trained · Information request

timeliness

Safety MnSAFE (ADM) and OSHA

Workers Compensation

Risk Internal Control Plan and Risk Assessments

Annual certification to MMB

Procurement Chapter 16C Audits by MMB Rulemaking Chapter 14 Needed and Reasonable

Office of Admin. Hearings


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routine decision making authorities formally delegated to appropriate divisions and staff. In 2015, the MPCA Citizens Board was abolished by the Legislature. A new 8-member Advisory Council has been created by Governor’s Executive Order 15-15 to advise the Commissioner prior to final decisions including, but not limited to, environmental review, permitting, rulemaking and variances from rules. The Advisory Council held its first meeting in May 2016.

The MPCA has utilized a matrix system of governance and management. This governance system addresses decision- making for both environmental issues and for operational issues. Seven divisions operate within their authority making key decisions regarding compliance, permitting and cleanup activities, operations and prevention. Cross- divisional teams serve to foster collaboration and efficiency in decision-making, including several management teams, lateral teams and environmental media (air, water, waste) forums led by Assistant Commissioners (Fig. 1.2-2). Further consultation and advice is achieved through monthly meetings of the agency managers and bi-annual meetings of MPCA managers with supervisors according to an Organizational Management Calendar (Fig. 1.2-1) that is adjusted annually.

P.1.b. (2) Customers and Stakeholders: MPCA’s primary work systems are monitoring and assessment (including identifying information needs, collecting, analyzing, managing and communicating data), pollution prevention, pollution management, cleanup, and operations. Key customer groups and their requirements of MPCA’s products and services are shown Fig. P1-6.

Fig. P1-6: Key Customer Groups and Requirements Customer Expectations Government/Controllers Efficiency, accuracy, access,

reliability, usability, clarity, accountability, outcomes, competence

Permittees /Beneficiaries Certainty, timeliness, consistency. Financial benefit or economic development

Citizens/ Influencers Transparency, timely/accurate data, reassurance, outcomes accountability, access, fair or preferred treatment

Emerging expectations common to all customer groups include an increased demand for real-time information, transparency in governance and decision-making, and a sense of shared responsibility, including having ownership in choices. In addition to common expectations, each customer group may have very specific expectations depending upon the environmental issues that impact them. To address the diversity of customers and their expectations, MPCA’s customer input and engagement processes tend to be conducted within specific program areas and their work processes (Fig. 3.1-3).

P.1.b. (3) Suppliers and Partners: MPCA’s key suppliers include labs, construction contractors, consultants (including environmental consultants, analysts, and facilitators), and private industry. MPCA’s key partners are all within the government sector and include the EPA, Minnesota Department of Health, Department of Natural Resources, and the Counties. Organizations that typically collaborate with the MPCA on issues include the Department of Agriculture, Board of Water and Soil Resources, watershed districts, Clean Air MN, ad-hoc advocacy groups and Non-Governmental Organizations (NGOs). Organizations may be partners in one context and collaborators in another, depending on the specific situation. Overall stakeholders include governments (at the international, federal, state, local and tribal levels), private industry, private citizens, ad-hoc advocacy groups, and NGOs and other long-term environmental groups. These stakeholders may be customers, suppliers, partners, or collaborators, depending on the context.

P.2. Organizational Situation P.2.a. Competitive Environment P.2.a. (1) Competitive Position: The MPCA has primary or sole responsibility for regulating air, land and water pollution sources within the state of Minnesota. We have significant responsibilities for providing technical assistance and collecting, analyzing and sharing data on ambient condition of the state's environment. All of our programs are relatively mature, with the exception of activities addressing non-point source pollution.

The MPCA, like most other state agencies, has counterparts in other states and at the federal level. This sets up another form of competition, since we are regularly compared to those other agencies on how efficiently and effectively we perform our responsibilities. Comparisons are particularly challenging because Minnesota often has more stringent requirements, such as public notice/participation, than either the federal government or other state’s environmental agencies.

Other state environmental agencies, local governments, and NGO’s in Minnesota could be considered competitors by traditional standards. However, our strategy is to collaborate together to leverage resources and limit redundancies in the work between our organizations, which both maximizes effectiveness and avoids loss. Although there are limited funds, a small pool of people with the skills we need, and use of our information and data and media attention to environmental issues, we work together through the Governor’s and Legislature’s priorities to benefit the states’ environment.

P.2.a. (2) Competitiveness Changes: Four key areas drive competitive changes: Technology and knowledge, stagnant


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or shrinking government resources, legislative changes, and perceptions and attitudes toward environmental issues.

· Technological advances in data collection and analysis

have a significant impact on regulatory and ambient monitoring and the ability to measure contaminants at lower levels. Increasing knowledge of the health impacts of small amounts of chemicals is also driving additional (re)work, particularly in cleanup of contaminated sites. MPCA’s technology investment in 2014-5 improves efficiency by increasing self-service for products and services and more and easier access to data for decision making.

· Stagnant or shrinking government resources cause competition between agencies and within the MPCA itself. Our revenues are a significant concern because fees paid by environmental program users are inconsistent and inequitable, and the existing funding mix is unsustainable. The MPCA, along with the Legislative Auditor, has been drawing the Legislature’s attention to try and resolve these issues since 2002. In 2015, we noted that as the MPCA’s and industry efforts to reduce pollutants and solid waste generation take hold less revenue is available to offset inflation in costs, even as program activities are reduced. Currently, few fees or taxes address the contribution of nonpoint sources to pollution. Resource limitations have also spurred the desire for better technology, although resources to invest in technology are also limited.

· Perceptions and attitudes toward MPCA activities can have a significant impact. If the public and elected officials value the environment and our role and processes used to protect or improve the environment, they will be more likely to provide resources, competition will be less intense, and opportunities for collaboration are higher.

These challenges, along with our strategic plan goals, drive collaboration, process improvement and innovation to accomplish environmental results. The MPCA has won 4 Governor’s Continuous Improvement Awards for our CI program (2010), Water Funds Framework (2012), Permitting Efficiency with DNR (2014) and Streamlining Data Information Requests (2015). MPCA’s collaboration with EPA and stakeholders to address the proactive reuse and revitalization of Superfund sites led to a USEPA Region 5 award for “Excellence in State Engagement Supporting Reuse” in 2015. Further examples of innovations are listed in the Fig. 7.4-16.

P.2.a. (3) Comparative Data: Wide variations in size, demographics, economics and regulations among state environmental agencies make direct comparison difficult.

· The Legislature and media often seek comparison to other

states on their environmental problems and how effectively these problems are addressed.

· Employee engagement data is compared to the national Gallup survey, and to other Minnesota state agencies.

· The Legislature, using outside contractors and the Legislative Auditor, provides some limited comparisons among state programs.

· Most often, we use internal historical data to set stretch goals that drive performance improvement and innovation, for which we are recognized nationally.

P.2.b. Strategic Context: MPCA’s key strategic advantages and strategic challenges associated with organizational sustainability are shown in Fig. P2-1.

Fig. P2-1: Strategic Context

Strategic Advantages SA1: Data analysis capabilities that translate to information and knowledge SA2: Problem-solving and a history of leadership to deliver results and be accountable SA3: Delegated authority from state legislature and EPA SA4: Good environmental conditions and a culture of environmental protection in MN

Strategic Challenges SC1: Attracting and retaining a strong workforce SC2: Securing and aligning funding with programmatic priorities SC3: Transient nature of political leadership SC4: High expectations SC5: Pace of technical change SC6: Large state with lots of resources to monitor and assess

P.2.c. Performance Improvement System: Since 2003, MPCA has focused on reviewing, improving, and designing more efficient and effective processes. Since our environmental programs and operations are delivered through processes, we must understand our processes and make them as efficient and effective as possible. The MPCA has had numerous process improvement successes over the years and has remained committed to continuously evaluating the effectiveness of our processes though several changes in State Government Administrations. Continuous Improvement is also included in every person’s position description. One distinctive characteristic of our culture is learning and innovation, for which we are recognized in the state and nationally.

The use of a wide variety of continuous improvement (CI) tools provides for a structured method to assess our processes, gather customer input, collect and utilize data, analyze current problems and root causes, and improve ways to accomplish our work. At a high level, the MPCA uses PDSA (Plan, Do, Study and Adapt) to routinely monitor the effectiveness of our processes. When the need calls for a deeper look at how a process is performing the MPCA uses the DMAIC (Define, measure, Analyze, Improve and Control) methodology (Fig. P2-2). Key CI Projects and cycles of evaluation and improvements of MPCA systems and processes outlined in this application are shown in Fig. P2-3.


OP

Groups involved in implementing continuous improvement activities at the MPCA include: Continuous Improvement Management Team (CIMT), Senior Managers, Division Leadership teams, Managers, Supervisors, Organizational Improvement Unit and staff.

Project selection and management is accomplished at two levels within the MPCA. All divisions identify opportunities and needs for improvement of processes both at the division and/or Agency level, at least annually. Senior Managers also identify agency-level processes to be improved or designed, based on results/comments from the Employee Engagement Survey or areas where they believe there is a need for improvement based on their experience.

Fig. P2-2: MPCA Performance Improvement Methodology (PDSA/DMAIC)

Method Questions Purpose

Plan

Define

What is the objective of the project?

-Define scope -Establish roles and responsibilities

Measure

How is the process performing?

-Examine current situation -Identify potential problems

Do

Analyze

What is preventing us from achieving our objective?

-Analyze cause of problems -Brainstorm causes of problems -Select root causes to address

Check

Improve

What actions will eliminate root cause of problems?

-Brainstorm & prioritize solutions -Develop implementation plan -Implement improvements

Adapt

Control

How do we ensure the actions are implemented and sustained?

-Monitor results -Validate improvements Determine new process capabilities

Fig. P2-3: Examples of Cycles of Evaluation and Improvements (addition examples available on site) Fiscal Year

CI Projects and Cycles of Improvement

Baldrige Criteria

1996 2001- 2003 2012- 2016

GOAL 21 Re-organization GOAL 21 Course Correction

Organizational Management Calendar Review

1.1 Leadership

2007 2014

2015

2015

Board Item Process Documents and Data Standards improvement Green Fleets in State Agencies Work- out Recycling in State Agencies Work- Out

1.2 Governance and Societal Responsibilities

2009- 2015

Continuous adjustments to the Strategic Plan Review process

2.1 Strategy Development

2011

2015

Air Pollutant Emissions reduction strategy Spending Plan Improvement

2.2 Strategy Implementation

2005

2006

Customer Communication and Feedback WWTP Operator Certification “Need to Know”

3.1 Voice of the Customer

2007 2013 2015

Cold Calls Gov Delivery Streamlining Processing of Information Requests

3.2 Customer Engagement

2006 2006 2011

2012 2013 2013 2013

2013 2013 2013

2014 2014

Spills Information and Data Tracking Water Quality Data Triennial Review Water quality standards Developing P2 ideas for grants CEDR improvement Mercury Emissions Standardization Greenhouse Gas Emissions Inventory Standardization Rules standardization Cumulative Levels and Effects Analysis Water Quality Site-Specific Standards improvement Air monitoring at Regulated Facilities Water Quality Chemical Additive Review Environmental Review Decision- making

4.1 Measurement, Analysis and Improvement of Organizational Performance

2004 2006

2009 2011 2012

Data Management Strategy Design Standardizing ISTS program and training E-apps Discovery Team Web Design Kaizen E-Apps Internet document process

4.2 Knowledge Management, Information and Information Technology

2006 2014

First Report of Injury Reporting FMLA process

5.1 Workforce Environment

2005 Employee Performance Management System

5.2 Workforce Engagement

2015 Leading CI Training Kaizen 6.1 Work Processes

2004 2005 2011 2014 2014 2015

Contracts Grant Effectiveness Watershed contracting Purchasing Manual improvement Agency-wide Contracts improvement Grants framework (contracts)

6.2 Operational Effectiveness

- 1 - MPCA 2016 PEN Application p-ac17-01b3 1-9-2017

Category 1. Leadership

1.1 Senior Leadership 1.1a(1) Vision and Values: Senior Leaders (SLs) set the agency vision every 5 years during the Strategic Plan (SP) development process (Fig. 2.1-1). The SLs team uses a collaborative, dialogue-focused process to set, review and refine agency values during three key events: when a new administration takes office; the Commissioner’s Office changes; and when the agency undertakes a major organization change effort. The Core Values were evaluated and refined in late 2015 based on input from SLs. (Fig. P1-1)

On a regular basis SLs share and deploy our vision and values with workforce, customers, stakeholders, and partners along with the updated SP, using a consistent set of communication methods (Fig. 1.1-1).

SLs hold themselves personally accountable for the overall

MPCA strategy and results as demonstrated by their commitment and support of managing the agency as a matrix organization (1.2a1). As difficult decisions are made, SLs are personally committed to open dialogue and constructive debate, while modeling values of the organization.

1.1a(2) Promoting Legal and Ethical Behavior: SLs actions demonstrate a commitment to legal and ethical behaviors through their strict adherence to and dissemination of applicable state and federal statutes, rules and policies – including the state’s ethics law and policies – and regularly pass along information and reminders to the full leadership team and staff about ethical and legal behavior. SLs take alleged or actual misconduct seriously and devote resources to investigation and follow-up. SLs carefully consider and strive to quickly address any issues identified by MN Management and Budget or the Legislative Auditor, or via internal risk management and performance management efforts. SLs promote an environment requiring legal and

ethical behavior by establishing checks and balances for decisions and authorities, including formal delegation authority for approving documents, executing contracts or agreements, routing for financial approvals, and travel and training (complexity of sign-off is scaled to potential risk). SLs have developed and require annual review and acknowledgement by all staff of the agency’s ethical behavior policy. This policy is reviewed and reinforced during new employee training, and via periodic e-mail and verbal reminders to leadership and staff about legal and ethical topics. Expectations for ethical and legal behavior are included in annual performance review criteria (5.2a4). SLs have deployed a formal process for addressing potential conflict of interest situations, and created an internal legal services unit to help address legal questions quickly.

1.1a(3) Creating a Successful Organization: SLs communicate and demonstrate the agency’s commitment to learning and continuous improvement (CI) in the strategic and operational review processes (Fig. 4.1-4), a robust and meaningful performance management system at the organizational and personal level, and a strong focus on using measures/data to guide and evaluate action. In these reviews SLs track and analyze measures and outcomes and assess our intelligent risk opportunities. An example is air non-point source pollution. There are no regulations

currently, but data on environmental impacts here led MPCA to a public-private partnership to direct strategy and to seek additional funding from the Legislature to support it. SLs strive to create a culture of learning to promote true implementation of the plan-do-check-adapt (PDCA) model (Fig. P2-2).

SLs use the strategic and operational review processes to support achievement of the agency mission, performance improvement and learning, through mandatory training in CI principles for leadership; and participation on and sponsorship of CI projects. SLs support staff development and training opportunities by funding the travel and training budgets.

SLs create a workforce culture that delivers positive customer experience and fosters customer engagement by supporting customer research in CI projects, including customer research in program reviews, and initiating, encouraging and participating in other formal and informal means of gaining customer input to learn about customers’ needs and perspectives.

MPCA is a learning organization with a long history of innovation and intelligent risk taking. Since 2003, SLs have embraced CI principles and tools, which resulted in multiple cycles of improvements. Examples of improvements and innovations include a focus on refining, implementing and

Fig. 1.1-1: Key Communications Methods Key Communications Methods

Vision Values SP Agency news

Other

New employee orientation (W) W W W Performance review discussions (Q)

W W W Exhibits and workshops (AR) C, P, G C, P, G C, P, G Program plans and reports W, P, L W, P, L W, P, L W, P, L Agency newsletters W, C, L,

P, G

Awards and recognition W W Social media (Facebook, YouTube, Twitter) (AS, D)

W, C, L, P, G

W, C, L, P, G

W, C, L, P, S

Legal and ethical exp. and compliance (A, AR)

W, C, G, L, P

HR marketing/job fairs W,C,P,G W,C,P,G HR job postings W,C,P,G W,C,P,G Key: Workforce=W; Government/controllers=G; Permittee/beneficiaries=P; Citizen/ influencer=C; Legislature=L; Weekly=W; Quarterly=Q; Annually=A; As requested=AR; Daily=D


communicating our Environmental Results Management System (ERMS) to leadership and staff; an emphasis on innovation in MPCA’s formal rewards programs (Voyageur’s Award, Gordie Award); yearly nomination of projects for the Minnesota Government Innovation and CI awards; and division-level recognition efforts, and articles on the internal website. SLs regularly discuss staffing needs and vacancy management both as a budget management tool, but also to help promote organizational agility to ensure a good fit between staffing levels, skills, and agency priorities. This effort is further assisted by SL’s regular check-ins on key issues or opportunities that are on the horizon (via policy forums and SLs meetings and retreats). SLs incorporate CI principles into their everyday work, and encourage people to identify and solve problems.

SLs directly participate in succession planning and the development of future leaders via regular discussions with division management teams. These discussions are focused during workforce planning efforts and when considering vacancy fills, as well as when succession planning opportunities present themselves through regular check-ins with the Deputy Commissioner. SLs serve as formal and informal mentors, present at and support the Leadership Academy, and encourage individuals who show promise for formal leadership to seek out development opportunities such as the administrative branch’s Emerging Leaders Institute and Senior Leaders Institute. MPCA’s management teams and forum process help develop future organizational leaders by exposing supervisors and managers to the agency’s operational systems and actively engaging them in managing these systems.

1.1b(1) Communication: SLs employ a multitude of communication methods (Fig. 1.1-1) to engage and facilitate two-way discussions with the workforce. To encourage frank, two-way communication, SLs have open-door policies that extend to the newest staff person and the most infrequent customer. SLs are available to the workforce at division, section and unit meetings, as well as via one-on-one interactions. Position descriptions, work plans and performance evaluations promote an expectation of frank, constructive and two-way communication with staff and with customers. SLs support agency efforts to employ social media as an effective communication tool, both to share messages out and to gain feedback and insight. For example, SLs support the Twitter pilot the agency has been conducting, and key SLs are agency Twitter “ambassadors.” SLs spend time and resources on training events to enhance communication skills and to learn about and employ new communication tools. An example is the Tactical Communications Team, implemented in 2012, to provide quick-response, strategic communication assistance/ feedback on controversial, high impact issues. Agency resources are invested in tools to help communicate with staff and customers located remotely (e.g. Lync and WebEx

with cameras and microphones in conference rooms). SLs selectively use communication methods (Fig. 1.1-1) to share decisions timely and effectively with the workforce based on location and level within the organization. Key decisions are communicated to customers through broadcast (e.g. GovDelivery) or more personal e-mails, reports posted on MPCA’s website, news releases, press conferences, phone calls, meetings and other social media methods.

SLs are key participants in motivating and engaging the workforce. For example, SLs sponsor and play an active role in the annual employee recognition program (Voyageur’s Awards). SLs encourage and evaluate nominations, and recommend awardees to the Commissioner’s Office, and participate in annual recognition events in each office throughout the state. The Commissioner’s Office creates personal, handwritten thank you notes for notable performance or accomplishments that SLs help identify. SLs highlight the importance of customer and business focus in the questions we ask in reviews of program plans, the content of the business plan, and in individual and program work plan activities. SLs are expected – via our position descriptions and work plans, and as evaluated in our performance reviews – to exhibit customer and business focus in the work that we do individually and as a team.

1.1b(2) Focus on Action: SLs create a focus on action through key communication and action planning approaches. SLs regularly communicate and refer to the agency mission and SP and help ensure that the actions we take are aligned with our key guideposts. The ERMS links the actions identified in program plans and individual work plans to the SP. SLs make use of the strategic and operational review process to inform and manage progress toward achieving goals. Where metrics show that goals are not being met, actions are identified to adapt program strategies and tactics to better achieve goals (2.2b; 4.1b). Those actions are tracked within the media forums, and results discussed in the next review cycle.

Following each legislative session, SLs meet to debrief and determine what actions are needed in response to new legislation and issues. Monday check-ins and Friday Legislative session updates facilitate coordination of day-today needs. By discussing issues as a group, SLs are in a better position to identify actions that align with agency mission and values.

Customer perspectives and needs are also considered when formulating and implementing actions. SLs include “voice of the customer” information in program evaluations, and encourage customer engagement in developing program strategies and actions. SLs recognize and promote the value of our partnerships and collaborative relationships. Finally, SLs remain keenly aware of the tradeoffs of environmental and economic pressures that can occur in the arena of


environmental management, and strive to analyze those tradeoffs when adopting rules and policies, issuing permits, and conducting our other work.

1.2 Governance and societal responsibilities 1.2a(1) Governance System: The agency has three levels of governance, see Figs. 1.2-1 and 1.2-2. Per state statute, the Governor appoints the agency Commissioner, who is confirmed by the State Senate. The Commissioner validates and hires senior leadership, who serve at will (unclassified).

Since the early 2000s, MPCA has functioned within a matrix organizational structure (Fig. 1.2-2, a detailed Governance System Diagram is available on-site) that enhances integration in the delivery of services, optimizes the shared services and better aligns our focus on customer needs. The workforce resides in seven divisions (Watershed, Municipal, Environmental Analysis and Outcomes, Remediation, Resource Management and Analysis, Industrial and Operations) that maintain the programmatic expertise and authorities needed to implement the environmental programs and meet customer needs. The matrix structure is a lateral framework that delegates control over operational functions to seven management teams (HR, Fiscal, Information Systems, Environmental Results, Administrative Business Systems, Sustainability and Continuous Improvement) and media decisions to four forums (Air, Water, Land/Waste and Excellence). The agency established management teams to ensure engagement and efficiency in the MPCA’s operational functions. The teams are led by a division director (DD) and include an assistant DD and managers/supervisors from across MPCA. The media forums have specific areas and defined roles and responsibilities in the development and implementation of the agency’s strategic plan. The forums assist in developing and monitoring measures and goals established by the Commissioner’s Office and SLs. Most other state and federal environmental agencies have a media-aligned organizational structure, which, in our experience, made it more difficult to provide regulatory services to a wide range of regulated

Fig. 1.2-2: Governance System

entities and to align and integrate common business practices. To effectively engage with other states and the Environmental Protection Agency (EPA), our assistant commissioners are appointed to lead a media (Air, Water and Land/Waste) forum whose membership crosses divisions to ensure all aspects of issues are considered in policy development and implementation. All division directors serve on the Excellence forum.

The Governance System (Fig. 1.2-2) is one of two key methods to create and sustain transparency in agency operations. The other is the agency’s Organizational Management Calendar that outlines which levels of leadership are responsible for specific decisions (Fig. 1.2.1). Leadership and operations accountability is enforced through the mechanisms detailed below.

The authority of the commissioner is governed by state statute. SLs are held accountable for their actions primarily through the agency’s performance management system (5.2a4) and

Fig. 1.2-1: Leadership and Organizational Management Calendar Leadership

level Strategic plan accountability

Fiscal accountability

Operations accountability

Governance accountability

Level 1 (Senior leadership)

2x/year 2x/year (spending plan and biennial budget)

4x/year 1x/year (calendar)

Level 2 (Division directors)

2x/year 4x/year 4x/year (HR) 2x/year (approve mgmt. team membership and workplans)

Level 3 (Mgmt. Teams)

2x/year 2X/year (FSMT report out and biennial budget)

7x/year (mgt. team reports)

2x/year (recommend mgmt. team membership and workplans)


the authority of the EPA and Legislature, when appropriate. Accountability to stakeholders occurs through external customer survey results (Fig. 3.1-3), formal program reviews, and annual reviews of operational metrics (Figs. 7.4-16-17). SLs revise the agency’s SP every five years, and conduct annual reviews of strategic metrics associated with the plan. Media forums coordinate these reviews. SLs revise the Business Plan every 2-3 years and annually review program plans and individual plans (Fig. 2.1-2). SLs reviews and approves the agency’s budget and reviews spending quarterly. Level 3 leadership is responsible for cross-agency fiscal management and provides analysis and recommendations to senior leadership. The agency receives independent, external program audits from the EPA as well as independent, Legislature-directed program and financial audits. Annually, MPCA conducts internal financial audit reviews and reports on its internal controls plan to the state’s Management & Budget Agency.

1.2a(2) Performance Evaluation: All SLs receive annual performance reviews from the deputy commissioner and/or commissioner, with the exception of the commissioner, who is reviewed by the governor. Reviews incorporate feedback from colleagues and staff, and inform annual work plan goals. SLs also receive feedback via an annual employee engagement survey. Salary levels are restricted by the Legislature, and are therefore not directly tied to performance. SLs participate in continued education activities, such as the Senior Leadership Institute to improve their effectiveness.

1.2b(1) Legal and Regulatory Compliance: MPCA’ is to understand, prevent and mitigate adverse impacts of environmental pollution. Our products and services are primarily governed by Administrative Procedures Act. Our rulemaking process involves input from the public and affected customers to ensure that the rules that govern our product and services are needed and reasonable. If requested by customers, external review is provided by an Administrative Law Judge. MPCA addresses adverse societal impacts, such as cost of its products and operations in three key ways: 1) Providing information and data, including guidance and policy assistance to regulated parties; 2) Facilitating public and stakeholder participation processes, such as hearings and public meetings; and 3) Reviewing processes regularly to improve their efficiency and effectiveness.

Additionally, the agency proactively prepares for these impacts and concerns through: 1) Early engagement with customers; 2) Participating at the national and state levels in standard-setting and regulations; 3) Dedicating resources to do environmental justice work, to ensure that pollution does not have a disproportionate impact on communities; and 4) Regularly identifying and enhancing opportunities for citizens to provide meaningful input.

Key processes, measures, and goals associated with key compliance requirements and risk prevention are summarized in Fig. P1.5.

1.2b(2) Ethical Behavior: Key processes and measures for enabling and monitoring ethical behavior are summarized in Fig. 1.2-3. Behaviors are monitored through regular financial and program audits, individual performance reviews, and separate monitoring of accounts payable and accounts receivable in the procurement process. The agency responds to breaches of ethical behavior through HR investigations and progressive discipline, up to dismissal.

Fig. 1.2-3: Ethical Behavior Processes and Measures Type of Interaction

Processes Measures and Goals (100% or Zero as appropriate)

Governance structure

Serve at pleasure of appointing authority

Performance evaluation, position descriptions (Fig. 7.3-13 & 15)

Throughout organization

Document Knowledge Transfer

Compliance (%) (Fig. 7.4- 10 & 11) Resolution to breaches (Fig. 7.4-12)

Interactions with workforce

Mandatory trainings: respectful workplace, ethical workplace, and IT security awareness

Compliance (%) Fig. 7.4- 10 & 11)

Interactions with customers, partners, and other stakeholders

Dispute resolution process; serve at pleasure of appointing authority

Complaints to Governor’s Office or Commissioner’s Office; due dates (Fig. 7.2-6)

Interaction with suppliers

Competitive procurement process prescribed by Dept. of Admin

# of sole sources and # of procurement violations

1.2c(1) Societal Well-Being: All agency programs and activities directly or indirectly benefit the environment and enhance the quality of life for the citizens of the state. Through our various programs to protect the environment, the agency enhances the health of the general population and safeguards the state’s natural resources, which, in turn, stimulate the economy through business development.

1.2c(2) Community Support: Our key communities are those that our facilities are located within, and many of our charitable activities focus on helping to make those communities a better place to live. The agency also engages in 25 charitable or otherwise beneficial activities in the vicinity of the St. Paul and regional offices. For example, the St. Paul office participates in a youth read-aloud program. The regional offices participate in local community fairs to promote clean water. The entire agency is part of State of Minnesota activities such as the Combined Charities where employees contribute to a variety of organizations by payroll deduction or through special fundraising events. All staff can also donate vacation leave to any other state employee in need through a state-sponsored program.


MPCA management supports participation in these activities, based on employee interest. SLs are also active participants. Nearly all of the activities have their roots in sustainability of the environment, society and economy. Descriptions of additional activities are available on site (AOS). Key examples shown in Fig.1.2-4

Fig. 1.2-4: Community Support Environment Society Economy Adopt-A- Highway

Red Cross blood drive Combined Charities (Fig. 7.4-13

Earth Week activities

Second Harvest food drive Vacation Donation

Be the Match Key cycles of evaluation and improvement for Leadership and Governance Processes are shown in P2-3.

Category 2: Strategy

2.1 Strategic Development Process 2.1a(1) Strategy Development Process: MPCA’s ERMS encompasses our strategic planning processes. This system recognizes that strategic planning is a critical function of SLs (Fig. 2.1-1), and that continuous strategic acting and thinking are key to carrying out the strategic plan (2.2a). Key decision-makers (SLs, program leads) convene strategic conversations that support the planning, implementation and evaluation of the strategic plan. We plan, do, check and adapt (PDCA) at multiple levels, from the strategic to the individual, under timelines appropriate to each level. Through 20 years of annual evaluation and learning cycles, this process and the calendar to organize these activities has evolved to the system we use today, and will continue to undergo change and improvement with each cycle. There are new ideas and elements added to the system every year. Recent additions include 1) the development of the strategic calendar (Fig. 1.2-1) to synchronize the multiple layers of PDCA occurring at the same time, and 2) processes that improve our discipline around “Getting to Green” described

in 2.2a2 and Fig. 4.1-4. ERMS is grounded in MPCA’s values of being data driven to support decision-making and striving for environmental outcomes in all that we do. The development of MPCA’s Strategic Plan is facilitated by the Environmental Results Management Team (ERMT) and includes the following steps:

1. SLs set environmental vision, goals and objectives for a

five-year period. 2. Program leads recommend operational and strategic

measures to track progress on objectives (MPCA Key Strategic Objective Matrix (Fig. 2.1-4).

3. Agency Forums and SLs approve measures and appropriate targets.

4. Strategic Plan is communicated to agency staff and posted on agency website for external viewing.

MPCA commissioner communicates to agency staff about the strategic plan. The ERMT provides periodic updates on the agency’s progress at meeting SP goals and objectives. New employees also receive training that introduces them to our strategic planning process

MPCA’s long-term planning horizon is five years, although horizons for some environmental issues and/or problems may extend longer than 10 years, taking into account the time it takes to realize environmental improvement. Once the 5-year SP is completed, a business plan (2-3 years), program plans (2 years), and MPCA staff annual workplans are developed. These plans include the strategies and tactics that will be used to implement the SP (Fig. 2.1-2). In this way, each of the more than 900 staff in the agency has a detailed annual workplan that describes the work they will do to support the agency SP. The 20 agency programs have program plans that describe goals, measures, strategies, and how resources are allocated.

Fig. 2.1-2: Strategic Planning and Work plan Cascade

Fig. 2.1-1: MPCA Strategic Planning Processes and Cascade to Business and Program Plans Strategic Plan (5 yr cycle)

Business Plan (2-3 yr cycle)

Program Plans (1-2 yr cycle)

Key process steps 1. (Re)validate

mission, vision, values

2. ID strategic adv & challenges, & CC

3. Establish goals and measureable objectives

1. Establish Agency programs

2. Annual PDCA of BP 3. ID key priorities

requiring specific focus

1. 20 env. programs established

2. ID goals, tactics, measures & resources for each

3. Annual PDCA on each program plan

4. Guide Individual work plans

SL, Program Leads, ERMT

SL, ERMT Program Leads

Accountability and progress reporting/evaluation (Figs. 1.2-1 and 4.1-4); SLs and Program Lead


Ensuring organizational agility and flexibility is critical for MPCA success and effectiveness. Information is coming in all the time and is monitored in our system. We monitor changes in the physical environment, regulatory environment, in business, and in politics at the federal and state levels. Using short-term planning horizons allows for adjustments in our plans, strategies, tactics, and resource allocation to respond to new information. We consider new information through our PDCA (P2c) processes. Through frequent review of our progress, including discussion of underperforming measures with SLs, at media forums and within the divisions, we use these opportunities for new information to be incorporated and new solutions to be generated.

2.1a(2) Innovation: In MPCA’s processes, innovation arises naturally from systematic and frequent reviews of progress at multiple levels (4.1c3), including individual, sub-program, program, and SP. When goals and measures are not meeting expectations, new approaches and/or strategies are expected.

The agency identifies strategic opportunities in Step 2, SP/PDCA processes. In addition, small strategic adjustments can be made within programs (2.2b), while larger opportunities that require policy or resource changes are made through our legislative agenda each year, and addressed in our BP and PP. Strategic opportunities are also identified at manager meetings and SLs discussions and reviews (Fig. 4.1-4). Other key venues include division leadership meetings, BP discussions, and Legislative initiative planning.

An idea can come from anywhere in the organization, but it is up to managers and directors to carry them forward for consideration. SLs make decisions regarding which strategic opportunities are worth pursuing. These decisions are documented, incorporated into program action plans, and communicated to agency leadership and staff.

A recent strategic opportunity, identified through strategy development, resulted in an increased focus on unregulated sources of pollution that degrade air and water quality. This specific opportunity is highlighted as a new priority in the agency’s strategic plan and program actions plans.

2.1a(3) Strategy Considerations: As we enter into step 2 of the 5-year strategic planning cycle, we ask each media forum (air, water, land and excellence teams made up of agency leadership) to evaluate changes in Minnesota’s natural environment, and political and regulatory landscape. A consistent framework and standard set of questions are used to document this process (Fig. 2.1-3). These retrospectives become foundational for discussions with customers and decisions about future strategic direction.

2.1a(4) Work Systems and Core Competencies: MPCA has five work systems: Monitoring and Assessment, Pollution Prevention, Clean up, Management and Operations. During Step 2 of SP, SLs and program managers, with input from their supervisors, other program managers and directors, determine the most effective way to do the agency’s work and deliver services through a combination of these key work systems. These approaches are documented in Program Plans, which describe goals, measures, strategies, and resource allocation (including needed core competencies). Program Plans also include adaptations in core competencies and works systems needed to accomplish SP objectives.

In some cases, external suppliers and partners are better equipped to deliver certain work processes contained within a particular work system. Based on information and resources, the program manager — with input from staff, supervisors and other managers — decides when and how to use external partners. The Feedlot Partnership with Counties is an example of a key work process accomplished by external partners.

2.1b(1) Key Strategic Objectives: The basic structure of MPCA’s Strategic Plan is to set 2 or 3 high level goals in the following categories: Air, Water, Land, People and Approaches and Operations. For each of the goals, we develop 2 or 3 measurable objectives. Projections are made when appropriate

2.1b(2) Strategic Objective Considerations: Strategic objectives are balanced among and against potential competing organization needs through two key and integrated methods. First, SLs and program media leads/forums develop the overall agency Strategic Plan and directives. Second, the management teams implement and communicate the directives that impact the rest of the agency. This enables MPCA to develop aligned goals and priorities across the agency and helps to ensure agency resources are used efficiently and allocated to the highest priority areas.

Fig. 2.1-3: Strategic Consideration Standard Questions 1. What has changed since the completion of the last strategic

plan? What do we know about the condition of the air, water, and land and how it has changed? What are new stressors on the environment?

2. What has changed in how we do our work? 3. What has changed in what is expected of us, including

mandates? 4. What has changed in the data and information available to us? 5. What have we achieved relative to the goals and objectives we

set five years ago? (This includes a review of the results derived from our strategic and operational review)

6. Did the goals and objectives we set serve us well? Were they measureable? If not, why not?

7. What else did you discover in this conversation? 8. What has the group learned and what new directions does the

group recommend be taken for the future?


2.2 Strategy implementation: The annual implementation processes, which include the alignment of resources, action plan development, and reviews, are critical for successfully deploying the SP.

2.2a(1) Action plans: Action/Program Plan development. The environmental work of the agency is comprised of 20 programs. Each program manager is accountable for developing a Program Plan (PP) that aligns with the strategic plan. A template is provided that includes goals, strategies, customers, measures, and resources. These plans are updated annually to respond to changing priorities, resources, or external forces.

2.2a(2) Action plan implementation: PPs are shared with supervisors and staff in the program area. PPs are deployed to the workforce via incorporation into individual work plans (WPs), which reflect both the actions identified in the PPs and the agency strategic objectives. PPs are not currently deployed to all key suppliers and partners, although some program managers share their PP action items with partners directly or via the development of shared work plans for a particular partnership effort. The agency environmental results management system ensures that key PP outcomes are sustained by measuring and reporting progress on operational and strategic objectives annually and by identifying and tracking corrective actions needed to help ensure outcomes are achieved and sustained.

2.2a(3) Resource Allocation: Over a two-year cycle, the SLs, including the CFO, use 4 key steps to assign staffing levels and financial resources to achieve priority outcomes identified by the strategic plan and business plan. Resource levels are determined through development of the biennial budget and annual spending plans, and are monitored throughout the year. Various Organizational Management Calendar decisions and timing are set to inform the decisions SLs make concerning resources (Fig. 1.2-1). Step 1. Develop and approve a 2-year biennial budget: To the on-going biennial “base budget” funding levels established by the Legislature, the agency develops change items for additional or reduced spending that are recommended by SLs and approved by the commissioner. Changed items are based on customer or program needs. MPCA’s biennial budget request must be supported by the governor, who then presents it to the Legislature for appropriation of resources. Step 2. Draft annual spending plan: The fiscal section provides a draft budget spending plan for the upcoming year to MPCA management based on the appropriated biennial budget. Managers review their previous and current allocation of resources, and submit requests for changes. The fiscal section provides budget requests to the Fiscal Systems Management Team (FSMT), which works with

MPCA management to adjust resources as necessary to obtain a balanced annual spending plan within the legislative appropriations. Step 3. Review annual spending plan: The SLs review the recommended annual spending plan, making final adjustments to meet priorities. After adjustments are complete, the fiscal section set ups the annual spending plan in the state accounting system. Step 4. Present annual spending plan: The CFO presents staffing and financial spending data to FSMT each quarter for review and recommendations to SLs. The SLs review the data and recommendations quarterly, making adjustments as necessary. Step 5. Manage spending plan: Managers and supervisors track their budget using the Budget Information Reporting Database.

2.2a(4) Workforce Plans: Formal workforce plans are developed by leaders at the unit, section, and agency level. Supervisors and managers are required to include an up-to- date workforce plan as part of any vacancy posting packet. These plans enable the supervisor and manager to identify the key staffing mix needed to achieve the goals of the work unit and program plans, and to help ensure leaders are thinking ahead to manage both their current workforce and their anticipated future needs.

At the agency level, a comprehensive workforce plan is developed every 3-5 years to identify the current staffing mix, anticipate future needs, and to especially focus on succession planning and opportunities to enhance workforce diversity. The agency is facing a wave of retirements over the next 5-10 years. Workforce planning is a critical tool that the agency is using to help anticipate and plan for those retirements, both through succession planning and through recruitment and retention efforts. Our workforce plan is also addressing diversity within the agency, by identifying opportunities to recruit staff from under-represented populations into agency positions.

2.2a(5) Performance Measures: Key performance measures are listed in Fig. 2.1-4. Many programs also have additional performance measures that are tracked by the program leadership and shared with program staff. The standardized format and process embedded in the Environmental Results Measurement System (ERMS) ensures the alignment of the organization and workforce across the agency. Alignment is also aided by the agency management team structure, both through the direct action of management teams to align support functions and also the cross-program and cross-division teambuilding and understanding of the full organization that are facilitated by management team participation.

Fig. 2.1-4: MPCA Strategic Objectives Matrix: Includes Goals, Action Plans, Measures, and Projections

Strategic Focus Areas & Strategic Obj.

SA SC CC Strategic Goals Strategic Action Plans: Long term

Strategic Action Plans: Short Term Key Strategic Measures (Additional measures AOS)

Projections

Water:

MN’s clean water supports aquatic ecosystems, healthy communities and a strong economy

1, 4

4, 6

2 W1: Lake, stream, wetland, and groundwater conditions are evaluated and communicated.

Monitor conditions of surface and groundwater and analyze data in a timely manner.

1. Intensively monitor an average of eight major watersheds each year.

2. Establish a network of 265 groundwater monitoring wells by 2015.

1. Cumulative percent of major watersheds intensively monitored; percent of watersheds with completed monitoring and assessment reports. (Fig. 7.1-18 and 7.1-7)

2. Number of groundwater monitoring wells sampled each year. (AOS)

-- All major watersheds intensively monitored and assessed by 2020. -- Groundwater monitoring network fully installed in 2016.

2, 3, 4

4, 6

1 W2: Pollution from all MN sources is reduced or prevented.

Regulate point source discharges to protect uses and maintain consistency with major watershed strategies.

1. Implement lake and river eutrophication standards in permits to reduce phosphorus.

2. Work with local partners to eliminate un- sewered or under-sewered communities.

1. Trend in phosphorus discharges from wastewater in the Minnesota River watershed, Lake Pepin watershed and statewide. (Fig. 7.1-5)

2. At least 90% of straight-pipe cases are resolved within 10 months. (AOS)

The point source phosphorus reduction goal for the Minnesota River will be met by 2018.

1, 4

2, 4, 6

1, 2

Manage non-point source discharges to protect uses and maintain consistency with major watershed strategies.

1. Complete watershed restoration and protection strategies (WRAPS) in 6 major watersheds over the next 2 yrs. (Fig. 7.1-20)

2. Reduce the time it takes to complete each WRAPS to four years or less.

1. Number of major watersheds with WRAPS projects completed or underway. (Fig. 7.1-7)

2. Number of lakes and streams restored. (AOS)

By 2018, 48 of 80 major watersheds will have a WRAPS done; the remainder will be in progress.

Air:

MN’s clean and clear air supports healthy communities and strong economy

1, 4

4, 6

2 A1: MN’s outdoor air is healthy for all to breath.

Ensure ambient air is better than air quality standards and health benchmarks. (Fig. 7.1-1)

1. Maintain 90% up-time of monitoring stations. 2. Complete annual inventory of point source

emissions of air pollutants.

1. Number of days each year with a moderate or unhealthy air quality index. (Fig. 7.1-3)

2. Trends in emissions of specific air pollutants from permitted facilities. (AOS)

1, 3, 4

4, 6

1, 2

A2: MN reduces its contribution to regional, national and global air pollution

Reduce MN’s contribution to global mercury levels by meeting the statewide mercury-reduction goal.

1. Update mercury emissions inventory annually. 2. Improve mercury emission estimates,

particularly from the product sector.

1. Trends of mercury emissions (starting with 2005 baseline).

2. Trends in mercury concentrations in game fish (walleye and northern pike).

Projected mercury emissions from Minnesota sources through 2025. (Fig. 7.1- 17)

1 2, 3, 6

2 Reduce MN’s contribution to global concentration of greenhouse gases. (Fig. 7.1-4)

1. Work with Department of Commerce to implement the Next Gen. Energy Act.

2. Participate in interagency efforts to provide data and information about the rate and impacts of climate change.

1. Trends in greenhouse gas emissions, by sector. (AOS)

Forecasted greenhouse gas emissions through 2030.

Land/Waste:

MN’s Land supports healthy ecosystems and sustainable land uses

2, 3, 4

4, 5, 6

1, 2

L1: Solid waste is managed to conserve materials, resources and energy

Ensure waste is reduced, recycling and organic recovery is increased, resource recovery capacity is maintained, and landfilling is reduced.

1. Provide grants to counties to incentivize recycling and composting. (AOS)

2. Approve eight county solid waste management plans per year. (AOS)

1. Trends in recycling, composting, incineration and landfilling rates. (Fig. 7.5-11)

1, 2, 3, 4

2, 4, 5, 6

1, 2

L3: Contaminated sites are managed to reduce risks to human health and the environment and allow continued use/reuse

Prepare sites for continued use or reuse.

1. Review 90% of brownfields project submittals within 30 business days. (Fig. 7.1-9)

2. Complete assessments and investigations at Superfund sites and begin response actions within five years of site identification. (Fig.7.1- 23)

1. The number and combined acreage of sites at which cleanups are completed each year. (AOS)

MPCA 2016 PEN Application

Fig. 2.1-4: MPCA Strategic Objectives Matrix: Includes Goals, Action Plans, Measures, and Projections

Strategic Focus Areas & Strategic Obj.

SA SC CC Strategic Goals Strategic Action Plans: Long term

Strategic Action Plans: Short Term Key Strategic Measures (Additional measures AOS)

Projections

People & Approaches:

Minnesotans and MPCA take action to protect our land, air and water

1, 2, 4

2, 4, 6

1, 2

M1: Business, public entities, communities and residents conserve resources and prevent pollution.

Provide technical assistance to prevent and/or reduce the amount of pollution generated.

1. Provide technical support and grants to businesses to prevent pollution.

1. Amount of energy, water and waste reduced and documented cost savings as a result of assistance projects. (Figs. 7.5-11 through14; and AOS)

N/A

2, 3

2, 4, 5, 6

1, 2

M2: MPCA regulatory programs are efficient and effective

Prevent and control pollution from regulated facilities through efficient permitting along with effective compliance and enforcement.

1. Enhance the efficiency of permitting processes to make progress towards the 150 day and 90 day timeliness goals established by the MN Legislature.

2. Develop and implement risk-based inspection and compliance approaches.

1. Percentage of permits issued within 150 days and 90 days. (Fig. 7.1-20)

2. Permit compliance rates. (Fig. 7.1-24)

N/A

2, 4

2, 4, 6

1, 2

M3: Minnesotans better understand the connections between individual decisions and environmental effects

Engage in outreach activities to increase environmental understanding and environmentally responsible actions.

1. Design, coordinate and staff the annual Eco Experience building at the Minnesota State Fair.

2. Sponsor MN GreenCorps cohorts.

1. Trend in percent of attendees who have changed their behavior due to information gained at the Eco Experience. (Fig. 7.2-3 & 4)

2. Trends in environmental benefits, such as waste prevented or energy savings realized, accomplished by GreenCorps members. (AOS)

N/A

Operations:

MPCA demonstrates excellence in operations

2 2, 3, 4

2, 1

E1: MPCA continuously strives for improvement and regularly evaluates performance

Embed continuous improvement (CI) principles in the culture of the agency. (Figs. 7.1-24 through 27)

1. Conduct strategic and operational performance reviews each year. (Fig. 4.1-4)

2. Conduct “Leading Continuous Improvement” classes for leadership and staff at least annually. (Fig. 7.3-16)

1. Progress on strategic and operational objectives (trends in red/yellow/green over time). (Fig. 7.4-16)

2. Pre-and post-training survey of CI understanding from leaders and staff. (AOS)

N/A

2 1, 2, 3, 4

1 E2: MPCA recruits and retains an engaged, motivated, and creative workforce

Retain a high-quality workforce.

1. Provide required safety training annually. 2. Complete annual performance reviews by

October 1 of each year.

1. Trends in reportable Incident rates compared to state government as a whole, and similar agencies. (Fig. 7.3-6)

2. Percent of employees with completed performance reviews. (Fig. 7.3-13)

N/A

1, 2

4, 5

1, 2

E3: Delivery of MPCA data and services is timely, transparent and reliable

Develop and maintain high-quality, accessible data systems.

1. Complete the development and initial implementation of the Tempo data system.

2. Routinely evaluate the health of data, info and tools.

1. Trend in e-service actions undertaken by customers (e.g. on-line permit applications, on-line data submittal).

2. Trends in GovDelivery bulletin engagement rates. (Fig. 7.2-8)

N/A

Key: Strategic Advantages: SA1: Data analysis capabilities that translate to information and knowledge; SA2: Problem-solving and a history of leadership to deliver results and be accountable; SA3: Authority; SA4: Good environmental conditions and a culture of environmental protection in MN; Strategic Challenges: SC1: Attracting and retaining a strong workforce; SC2: Securing and aligning funding with programmatic priorities; SC3: Transient nature of political leadership; SC4: High expectations; SC5: Pace of technical changes; SC6: Large state with lots of resources to monitor and assess. Core Competencies: CC1: Environmental Service Expertise and Knowledge; and CC2: Environmental Data and Analysis

MPCA 2016 PEN Application - 9 -


2.2a(6) Performance projections: Performance projections are available for many, though not all, of the agency’s key performance measures (Fig. 2.1-4). In general, measures that involve pollution reduction have projections associated with them, as do measures involving the systematic build- out or deployment of program activities. For example, projections are available for anticipated future reductions in mercury pollution from Minnesota sources, and for surface water monitoring progress. There is some performance data from EPA Region 5 states that MPCA can use for comparison. However, MPCA typically evaluates performance against key benchmarks rather than by comparison to similar agencies in other states. Performance against key benchmarks varies depending on the specific performance measure. For example, while Minnesota is on track to meet the 93% mercury emissions reduction goal for energy and materials processing sector, further reductions in the use of mercury in products will be needed to meet the overall goal (Fig. 7.1-17). Where gaps in performance against key benchmarks are identified, they are discussed during the strategic or operational review and actions are identified to get back on track to achieve the goal.

2.2b Action Plan Modification: Flexibility is built into ERMS to accommodate the eventuality of changing circumstances necessitating a shift in action plans. A key element of the strategic and operational review process is identifying changes needed to achieve key performance measures when data shows the agency is not on track to meet those measures (4.1b). Those actions are tracked and discussed by the policy forums to help ensure follow-through in implementation (Fig 4.1-4).

At the program level, the biennial development and annual review of PPs facilitate leadership discussion of any changes needed to the action/program plans to address changing circumstances. SLs retreats, SLs weekly meetings, biweekly management team meetings, monthly forum meetings, and monthly manager meetings provide systematic methods for identifying and quickly addressing any changes needed to adapt to changing circumstances, thereby promoting active management and agency agility.

Key cycles of evaluation and improvement for Strategy (Development and Implementation) Processes are shown in Fig. P2-3.

Category 3: Customers

3.1 Voice of the customer 3.1a1 Current Customers:

The agency uses a variety of mechanisms to get customer input and feedback (Fig. 3.1-1). Approaches to gathering voice of the customer (VOC) information vary by program area according to the needs of their key work systems and processes. Programs obtain VOC assistance through two official routes: the Customer Research Coordinator (CRC), who manages the agency’s electronic surveys and provides question design expertise, and the Organizational Improvement Unit (OIU), which provides support for Continuous Improvement (CI) projects. Both the CRC and OIU help their internal customers determine appropriate customer listening mechanisms by following the VOC process illustrated in Fig. 3.1-2.

Fig. 3.1-2: VOC Process

1. Determine

VOC purpose

and Objectives

2. Identify

and evaluate possible

VOC methods

3. Sselect and

customize VOC

method

4. Implement

VOC methods

5. Summarize

results

Fig. 3.1-1: Customer Communication Methods

Method Listen/ learn

Build relations

Manage concerns

Written and electronic Electronic/paper/key pad surveys (AN) P, C ↓ Flyers and direct mailings (AN) P, C ↑ P, C ↑ Public notices, newspaper announcements, radio spots, GovDelivery (A, AN)

G, P, C ↑

Social media (C, AN) C ↑ Web-based services (C) P, C ↕ P, C ↕ P, C ↓ E-services point of service survey (C) P ↑ P ↑ In-person Interviews (AN) G, P, C ↕ Focus groups (AN) P, C ↕ P, C ↕ P, C ↑ Listening sessions/office hours (AN) G, C ↓ G, C ↕ G, C ↑

Training & certification (A) P ↕ P ↕ P ↑ Eco Experience (A) C ↓ C ↕ Conferences, trade shows, expos (A, AN) G, P, C ↕ G, P, C ↕ Open houses/symposiums (AN) C ↕ C ↕ C ↑ Public comment/meeting/hearing (AN) C ↑ C ↕ C ↑ Senior manager's check-in (W) G, P, C ↑

Meetings with external organizations (A, AN) G, P, C ↕ G, P, C ↕ G, P, C ↕ Minnesota Business First Stop (M) P ↕ P ↕ G, P, C ↕ Minnesota Chamber of Commerce (Q) C ↕ C ↕ C ↓ Minnesota Environmental Partnership, MEI, MEP (AN)

C ↕

C ↕

C ↕

Legislative hearings (AN) G, P, C ↕ G, P, C ↑ Speaking engagements/subject matter expertise at external events (A, AN)

G, P, C ↕

Legend: G= Government/controllers, P= Permittees/beneficiaries, C= Citizens/influencers ↑or ↓= one-way; ↕= two-way communication A=Annual; AN=As needed; M=Monthly; Q=Quarterly; W=Weekly; C=Continuous


With the exception of CI projects, which are required to demonstrate the use of VOC data and communicate results, the use and communication of VOC data results occurs at the discretion of the program area. Electronic surveys are among the most common VOC tools used within program areas and CI projects. Since 2002, the agency has conducted 138 online customer surveys on behalf of various programs (Fig. 3.1-3). These surveys have been conducted on an as- needed basis.

3.1a(2) Listening to Potential Customers: The agency uses external training events (e.g., wastewater treatment courses, deicing chemical applicators certification), conferences (e.g., Wastewater Annual, Conference on the Environment), festivals (e.g., Minneapolis Open Streets) to connect and raise awareness with potential customers about the agency’s work and mission. The Eco Experience building at the Minnesota State Fair is visited by hundreds of thousands of people each year and includes exhibits about the agency and partners’ work related to land, water, air, citizen science, and offers opportunities for individuals and groups to engage more in our work.

3.1b(1) Customer Satisfaction, Dissatisfaction, and Engagement: To address the diversity of customers and their expectations, MPCA’s customer input and engagement activities are conducted within specific program areas using key communication methods (Fig. 3.1-1).

Fig. 3.1-3: Customer Engagement Surveys Customer Type # of

external surveys since 2002

Percent

Government/controller 27 20% Permittees/beneficiaries 55 40% Citizens/influencers 36 26% Multiple Groups 14 10% Unknown 6 4%

3.1b(2) Satisfaction relative to competitors: MPCA has primary or sole responsibility for regulating air, land and water pollution sources in Minnesota. MPCA’s strategy is to collaborate with other State Agencies and to leverage resources and limit redundancies.

3.2 Customer Engagement 3.2a(1) Product and Service Offerings: MPCA’s current product offerings, and the affected customers and market segments are almost exclusively determined by state and federal law, and executive orders. New or expanded product offerings and new markets are established annually through legislation — either a directive or in response to a governor’s request; or upon initiative of the governor through executive orders. Federal requirements for new or expanded product offerings are mostly through new regulation, or rarely Congressional action. A recent example

is the state Clean Power Plan required by EPA rule. MPCA uses the governor’s legislative initiative process to propose new product offerings to the Legislature based on data analysis, benchmarking of other states for trends, and customer feedback on needs and opportunities.

3.2a(2) Customer Support: State and federal law also establish the manner by which our customers can seek information and support, such as required public notices, response to comments, and public meetings. MPCA goes beyond these requirements to obtain feedback through discretionary public meetings and opportunities to comment, civic engagement in watershed work, and to provide customer support through newsletters, compliance aids, education and assistance. For example, our stormwater program offers an online manual in a "wiki" format to provide quick ways to search for information, provide feedback to MPCA, and allow customers to update content based on their results (Fig. 7.2-7). Our website also has an “Ask MPCA” feature (Fig. 7.2-9).

Recently, when MPCA began operational testing in preparation for implementation of our new Tempo data management system, the Feedlot Program included four County Feedlot Officers (CFOs). These external customers provided valuable feedback to help test the new compliance and permitting online services.

We also provide real-time access to information and data through robust web-based services. For example, we have developed a website, mobile app, e-mail, and Twitter alert system to provide Minnesotans with real-time information about air quality across the state, including alerts when air quality is predicted to fall into unhealthy ranges. This system helps Minnesotans reduce their exposure to air pollution, and therefore protect their health, on the few days each year when air quality is unhealthy due to pollution and weather conditions.

3.2b(1) Relationship Management: MPCA builds and manages customer relationships through the unique environmental programs we implement. Navigating regulations, especially for new business customers can seem overwhelming. In an effort to provide timely assistance through a “one-stop” shop experience, the Minnesota Business First Stop program was created. MPCA along with eight other state agencies coordinate with prospective business owners to provide, “The right people, right answers, at the right time”. Using data analysis and customer feedback, MPCA also identifies sectors or geographic areas where improvement is needed and develops relationships to meet that need. For example, MPCA observed a steady increase in noncompliance with Minnesota’s ethanol sector. By talking with sector representatives, we were able to determine that they were having trouble understanding and adjusting operations to


comply with changing air quality regulations. We created a “strike team” that provided on-site and phone audits, hosted webinars and created factsheets to assist facility operators, which resulted in an increase in compliance rates and improved their satisfaction about our relationship.

MPCA also offers opportunities for citizens to provide unsolicited feedback through social media accounts on Twitter and Facebook, “Ask MPCA” on our web, a widely published main phone number, and through a significant presence at the Eco Experience at the State Fair, county fairs, and participation in other’s events, such as FarmFest.

3.2b(1) Complaint Management: Customer complaints are managed through a centralized complaints phone line/online portal. Data collected through the system is used to notify the appropriate individual to take action and respond within 24 hours. Any staff person who receives a complaint logs the information directly into that data system. In addition, customer complaints may be received through the governor’s or a legislator’s constituent services and referred to MPCA’s Commissioner’s Office, or a complaint may be received directly by MPCA Commissioner’s Office.

In both cases the Commissioner’s Office tracks the complaint, establishes the follow-up needed and the timeframe for the response. (Fig. 7.2-6)

Key cycles of evaluation and improvement for Customer Processes are shown in P2-3.

Fig. 4.1-1: Environmental Results Management System (ERMS)

4.1 Measurement, Analysis, and Improvement of

Organizational Performance 4.1a(1) Performance Measures: Using the ERMS process (Fig. 4.1-1), MPCA selects and annually deploys both strategic and operational measures to track progress on our strategic goals (2.1b). These measures generally follow the principles of Results-Based Accountability (Fig. 4.1-2). The

operational measures track MPCA’s level of effort and progress on implementing its action plan. These measures answer “how much did we do?” and “how well did we do it?” The strategic measures track Minnesota’s environmental outcomes or answer the question “Is anyone better off?” MPCA has direct control over progress on operational measures. However, strategic measures may depend on

Category 4: Measurement, analysis, and knowledge management

Fig. 4.1-2: Results Based Accountability Principles

Step 4: Program staff (air/water/land/excellence)

create presentations for leadership. Strategic objective

progress assigned as red/yellow/green based on measure results. Programs

suggest adaptations.

Step 5: Results and recommended adaptations

presented to division leadership, forums and senior

leadership.

Step 6: Based on review, SLs direct program managers to

make changes to business and action plans to “get to green”.

Step 7: Program managers implement changes.

Step 1: When final measures are approved by SLs, staff

determine methods for collecting the data and

calculating measures. SOPs created or updated, and stored in central location

Step 2a: Strategic Measures Step 2b Operational Measures

Program staff collect environmental outcomes data

throughout the year.

Program staff track progress on operational work throughout the year.

Step 3 Graphic comparing data results to approved comparative

data is created or updated annually.


entities and actions MPCA does not have authority or control over. Nonetheless, the agency still views it as our responsibility to track and report on these measures to our stakeholders

MPCA’s fiscal status is tracked separately from its 5-year strategic plan. Fig. 4.1-3 shows our short-term and long-term fiscal measures and describes the frequency of tracking and the staff and leadership involvement in the process. MPCA annually reviews progress on its Environmental Performance Partnership Agreement with the EPA through a collaborative check-in and review process.

Fig. 4.1-3: Key Financial Measures Measures Short-term org

measures, including $$ (Frequency)

Long-term org measures, including $$

Compensation - actual vs. projected (Fig. 7.5.-3)

Spend down of compensation (Bi-weekly/Q)

Expenditures (Projects, travel) – overall (Fig. 7.5.-2)

Comparison of budgeted, encumbered, expended against time within FY (M/Q)

End of year balances – where did we end up on actual vs. projected

Fund Balance (Figs. 7.5-5 and 6)

Projection – current biennium (2xyr)

Projection – future biennium

Receipts – actual vs. projected (Fig. 7.5-7)

Amount received – related to effort expended (2xyr)

How fully do fees fund program activity

Besides this formal semi-annual review and adaptation of the strategic plan objectives and strategic and operational measures, MPCA also tracks progress through weekly section and division leadership meetings, monthly one-on-one and unit staff meetings, as well as other informal and program specific check-ins. Business Plan focus areas are reviewed by the Managers Team once a year.

4.1a(2) Comparative Data: In step 3 of the measurement selection process (Fig. 4.1-1), MPCA selects comparative data to compare against strategic and operational measure results. For strategic measures, the comparative data includes federal or state standards, guidelines, statutes or rules. For operational measures, the comparative data are generally federal or state requirements. This comparative data is used in making adaptations to business and program plans as described in 4.1a1. There is additional discussion of our comparative data in P2a2.

MPCA compares its environmental and operational progress to other states, where possible. This information is gathered directly through contact with EPA and other states, as well as through participation in national and regional media and program groups such as the National Association of Clean Air Agencies (NACAA) and the Great Lakes National Program Office (GLNPO). The data are used to help set agency goals and help inform agency program changes.

4.1a(3) Customer Data: MPCA collects voice of the customer (VOC) data from three major groups: Government/controllers, Permittees/beneficiaries, and Citizens/influencers (3.1a1). Currently there are support and processes in place for designing data collections (e.g. surveys, focus groups, listening sessions, etc.). There is a centralized contact person (Customer Research Coordinator) for survey design and review, but it is up to the program sponsoring the survey as to how they will use the survey information to make program improvements. In practice, customer data are frequently used to enhance programs. Additionally, VOC data tracking is required as part of MPCA’s continuous improvement process. VOC data must be collected and documented as part of every CI project. Project staff are required to return to the customer group and report back on how their input was used in the results of the improvement project.

MPCA is active in a variety of social media, particularly Facebook and Twitter. These venues are primarily used to share information with the public, but some customer data from social media are tracked, including number of comments, likes, etc. The data are not formally incorporated into decision-making but may be used to modify the types of information shared and the way the information is presented. Complaints are entered in the Complaint System described in 3.2b1.

4.1a(4) Measurement Agility: MPCA’s measurement system is designed to track both long-term environmental trends and outcomes, and organizational program performance. The strategic measures are generally compared to federal/state standards, guidelines, statutes and rules, and are designed to track long-term environmental trends.

The operational measures are more agile. They are tracked informally on a regular basis and can be adjusted as needed in our business and program plans. In addition, MPCA’s leadership team has implemented change quickly in a crisis. Examples include our response to new environmental concerns such as monitoring for perfluorinated chemicals (PFCs) and silica sand and emergency environmental response.

4.1b Performance Analysis and Review: MPCA regularly convenes decision makers at several levels within the governance system (1.2a1) to share, analyze, and use information on organizational performance and capabilities. Fig.4.1-4 summarizes MPCA performance reviews.

Strategic plan progress is reviewed twice a year. Measures for each goal in the strategic plan are compiled and reviewed by Air, Water, Land and Excellence Forums and by SL. MPCA’s SP has 30 Strategic Objectives that are measureable and are given a grade of red (poor progress), yellow (some progress), or green (good progress) at each evaluation


period. Each review includes discussion of under-performing measures and what actions can be taken to bend the curve or “get to green”. “Bending the curve” is a phrase from the Results Based Accountability (Fig. 4.1-2) framework that we’ve used to help us develop measures. Red and yellow dashboard performance indicators prompt identification of opportunities and priorities for improvement or innovation, as well as the necessary changes in approaches and allocated resources for “getting to green” (adaptations). Green performance indicators are analyzed to identify potential best practices. Program managers and their associated media lead/forums (Level 3 leadership) hold regular monthly meetings (Fig. 1.2- 1). During some of these meetings, they discuss operational performance trends as well as any change in organizational needs or external expectations related to the specific functions and processes supporting the strategic measures.

SLs review financial health of MPCA at least 2 times/year (Fig. 1.2-1). In 2015, division directors began reviewing progress more frequently to ensure progress on budget right-sizing. With assistance from the ADDs and fiscal coordinator, program managers and supervisors with budget responsibilities review and manage their budget allotments on an on-going basis (2.2a3).

MPCA’s approach to analysis of organization performance, capability, progress and trends relative to strategic goals and objectives is described in 2.1a and Fig. 4.1.1. MPCA uses generally accepted statistical analysis methods as well as analysis methodologies prescribed by current state and federal regulations, practices, and policies.

4.1c Performance Improvement 4.1c(1) Best Practices: Lessons learned and best practices are identified at all levels of the performance analysis and review process (4.1b). Best practices are shared during unit, section and division meetings, forums and training sessions. For example, the media-specific permitting groups hold regular forums to share lessons learned, standardize core

processes, and implement process improvements and best practices. Best practices are shared within the lateral structure during cross-media function meetings at the staff and management levels as well as during management team meetings and forums. Examples are: · The air quality permits program developed and optimized processes and tools to log and track receipt of permit applications. This led to the creation of new staff positions to better focus the skills, knowledge and abilities of all staff in the permit section. This model was

later adopted agency wide to manage receipt of all permit applications for all media programs.

· Agency-wide compliance and enforcement staff have identified best practices and developed standard operating procedures to define appropriate and consistent enforcement responses across media programs.

Best practices are also identified during comparative analysis of processes and practices used in other state environmental agencies. Information from other states is available from national performance reports and shared during regular interagency phone conferences, meetings, and training. Suitable best practices are appropriately adapted (Fig. P.2-3) and implemented through formal and informal process improvement efforts.

4.1c(2) Future Performance: Using historical data and projections, MPCA establishes future performance targets in our SP or published legislative reports, such as the biennial Greenhouse Gas Emissions Report (Fig. 7.1-4). The SLs review future performance targets in Strategic and Operational Reviews, an example being the projected reduction in mercury emissions through 2025. MPCA also monitors the environment and reports to the Legislature and other state agencies on chemicals of emerging concern. When necessary, adjustments to resources are included in annual spending plans, or they are deployed to workgroups as part of the strategies for “getting to green” (Fig. 4.1-1, Step 6). Larger projects become an agency-wide CI projects, a focus area in the Business Plan or a proposed legislative or budget initiative. When appropriate, new initiatives or changes in priorities are shared and discussed with partners and collaborators to obtain input, discuss their role or leadership in a change, or to provide results.

4.1c(3) Continuous Improvement and Innovation: The culture of continuous improvement and innovation at MPCA is described in P.2a, P.2c, 2.1 and 6.1b. As noted in the strategic planning process (2.1a2), MPCA benefits from being in a state that has been innovative in environmental

Fig. 4.1-4: Performance Reviews and Frequency STRATEGIC

OBJECTIVES AND ACTION PLANS

(see Section 2.1.b)

Analyzing and Reviewing Group [Frequency] Owners (Media Lead/

Forum and Management

Teams)

Level 1 & 2 Leadership (*)

Level 3 Leadership (*)

Vertical Structure Leadership

Supervisor and Staff

WATER AIR

LAND/WASTE

Strategic Review

[A][W][M] Operationa

l Review [A][W][M]

Program Plan

[A] [M] Business

Plan [A][B]

Section & Unit workplans [W],

[M], [Q], [A]

Individual workplan

[O]

Water Forum Air Forum Land Forum

PEOPLE AND APPROACHES

Water, Air and Land Forums

OPERATIONS Excellence Forum

A – Annual, B-Biannual, Q-Quarterly, M-Monthly, W-weekly, O-Ongoing (*) Level 1, 2 and 3 Leadership are defined in section 1.2.a.1


protection for 50 years. MPCA was created in 1967, preceding the creation of U.S. EPA, and the passage of the Clean Air and Water Acts. We’ve won 34 state, regional and national awards for our development and implementation of innovative environmental protection programs (Fig. 7.4-16) more detailed version AOS). MPCA is the delegated authority to implement federal environmental laws and historically has challenged EPA to allow for creativity in the approaches MPCA uses to implement federal programs/laws. MPCA challenges EPA because it wants to do more, to find ways to get greater results, and to be more efficient. This approach arises from the expectations placed on MPCA by the state’s citizens and political leaders.

The identification and sharing of process improvement and innovations through the vertical and lateral leadership structure follows the same path as for best practices (4.1c1).

The SP and individual performance review (Fig. 4.1-4) provides an avenue for staff and supervisors to identify continuous improvement or innovation opportunities to improve the work of the agency. If a decision is made to proceed with significant process improvement or innovation effort, a proposal is submitted and discussed with division leadership. If the proposed project is approved, appropriate resource adjustments are made to work plans.

The deployment of process improvement projects occurs at all levels of vertical and lateral leadership and structure, and it is an integral part of the PDCA process (P2.2c, and 6.1b). Deployed process improvement projects are tracked, shared, and supported as described in 1.1b and 6.1b3. Since 2003, MPCA has commissioned and implemented 104 process improvement projects.

Additional examples of innovations driven by performance review findings and external benchmarking include: · The MN air quality program was one of the first to design a

streamlined and flexible air permit (registration permit) that has been used for about 85% of regulated point air sources. This has optimized the use of our resources without compromising environmental protection and has afforded less regulatory burden to these regulated entities.

· MPCA is in the process of implementing an improved data management and access system (TEMPO) that will house services for many of MPCA’s media programs and other business functions. This will result in improved operation efficiency, flexibility, accessibility, ability to integrate new technologies and transparency. This specific data management system has been used in other states for only one of their media programs, so the MN model is unprecedented.

Key cycles of evaluation and improvement for M, A and KM Processes are shown in P2-3.

4.2 Knowledge management, information, and

information technology: 4.2a(1) Knowledge Management: MPCA’s organizational knowledge is managed within five key work systems: Prevention, Management, Clean up, Monitoring and Analysis, and Operations (Fig. 6.1-1). The key knowledge assets and the collection of information, storage of information, information sharing and transfer, and mining of information for better management are shown in Fig 4.2-1.

MPCA organizes and correlates its data through the development of guidance documents, reports, process maps, permit applications, inspection data, monitoring

Fig. 4.2-1: Knowledge Management Resources Agency key work systems

Key knowledge assets

How is information collected

How is it stored

How is it shared/transferred How we mine this data for best practice

Management & operations (permitting, compliance & enforcement, rules & standards development)

· Environmental services expertise & knowledge

· Modeling results · Standards review · Rules &

regulations

· Guidance documents · Reports · Process maps · Permit applications · Environmental review · Inspections · Public comments · Consultant submittals

· OnBase · Agency share

drives · Tempo · Staff

knowledge · Process maps · Tableau

Workbook · EQuIS · Hyrdstra · Air Vision · Access

databases

· Meetings (unit, lateral, section, mgmt. team)

· Brown bag sessions · Staff mentoring (Leadership Academy) · Reports & factsheets · MPCA website (used for all) · Newspapers · Public Meetings (used for all) · GovDelivery (used for all) · Agency dashboard · Operational & strategic review · Response to comments · Written reports (used by all) · Social media (used for all)

· Strategic and operational reviews

· Program plan reviews · Continuous

improvement projects

· Leadership Academy · Prioritization of

activities

Monitoring & assessment

· Environmental services expertise and knowledge

· Interpretation of environmental data and conducting analysis

· Monitoring design &data collection

· Risk Assessment

· Monitoring by MPCA · Monitoring by regulated

parties · Volunteer monitoring

· CTop report (Tableau software)

Clean up · Investigative & lab reports · Water & soil samples

· Corrective action plans · Decision documents

Pollution prevention

· Report development · Surveys · Review of databases

· Outreach (e.g., Eco Experience) · GreenCorps (AmeriCorps) · Online toolkits (e.g., household hazardous

waste)


information, investigations, and data collection. The various methods of storage for the agency’s organizational knowledge include Tempo, Tableau and OnBase. Tempo is the agency’s web-based application software that includes a complex collection of information from agency permitting, compliance, enforcement, inspection, and assistance programs. Tempo provides e-Services for permits, monitoring, and license renewal. Tableau is business intelligence software that helps the agency understand its data for agency goals and performance measures. Environmental data are housed in customized data systems such as EQIS, Hydstra and Air Vision, or Access databases developed by MPCA.

To create the agency dashboard and other materials, staff use 2 key approaches to collect and share data, through data collection, and through the use of data visualization tools (Tableau, Excel, InDesign). Beyond Tempo and Tableau, agency knowledge is stored within the expertise of staff as well as OnBase (the agency’s electronic document management system), and agency documents on its shared drives and databases.

The process or system for sharing organizational knowledge involves program communication plans that share information on the agency’s internal and external agency websites. Other methods of knowledge transfer include email, GovDelivery (electronic newsletters), and social media (Facebook, Twitter, YouTube, Pinterest, Instagram). The agency does proactive media placement on agency topics with print, television, radio, and online news media for agency reports, legislative initiatives, and rulemaking and policy changes for air, water, and land programs.

The agency transfers knowledge internally for best practice and innovative ideas through the use of agency teams that include agency management teams, media (air, water, land) forums, permit teams, compliance teams, and continuous improvement efforts. These efforts are performed weekly, monthly, and annually depending upon the method and tool required to share information. Participation on media forums and management teams ensures knowledge is developed and shared among leadership. MPCA also emphasizes process mapping and storing the maps in centralized location as a means of capturing and transferring organization knowledge. SOPs for the SP measures are annually updated to ensure accurate information is being shared.

Another aspect of knowledge transfer involves mentoring efforts including the Leadership Academy. The Leadership Academy is designed to develop leadership skills for employees from all levels and areas of the agency, and is a succession planning effort and a building block to develop and support high-quality staff. The agency develops a list of Leadership mentors each year that are willing to provide

guidance to staff in the Academy. Workforce knowledge is transferred through the agency’s internal web. Finally, Human Resources provides new employee training and provides policies, hiring information, and staffing information on the agency’s internal website.

The agency uses and teaches the “Plan, Do, Check, Adapt/Act (PDCA),” (Fig.P2-3) when evaluating and updating program plans based on agency measures and goals and linkage to the agency performance management structure. As part of the Operational Review and Strategic Reviews by SLs (Fig. 4.1-4), there are conversations about how to improve the programs and measures and provide results- based accountability. These SLs’ conversations during these reviews require program managers and staff to talk about innovation and was to improve the programs to meet goals or adjust strategies. Forum leads both listen and present at the Operational Review and Strategic Reviews conducted every year.

With respect to training, agency management requires those programs involved in out-of-state travel to provide a plan and carry out training for staff based on program needs. Agency culture also promotes and expects staff to share their training experiences with other staff through scheduled training for other staff in their program area and brown bag seminars. Training needs are discussed during the annual performance review and work plan process.

4.2a(2) Organizational Learning: Organizational learning occurs through formal training programs like new employee orientation and continuous improvement training. The agency systematically looks at agency results during reviews, and documents the measures, goals, and program efforts through standard operating procedures (SOPs). The agency has a formal tactical communications team to evaluate communication materials and coach staff for presentations at external meetings. The agency provides mentoring opportunities through the Leadership Academy and assigned program mentors. Individual supervisors and programs require new staff to work through checklists that expose them to different staff and processes in the agency. The agency has a daily internal email called PCA Today that educates and informs all staff about agency programs, processes, and issues, and has annual conversations for staff on water issues. Lessons learned are emphasized following major project efforts like emergency response events, Eco Experience, and controversial permit and review projects (such as mining, air quality, and wild rice). In weekly and monthly meetings, SLs discuss agency operations and then direct the division leadership to share the important operational issues with managers and supervisors. Supervisors are then directed to share these important issues with staff.


4.2b Data, Information, and Information Technology: MPCA is undergoing a transition in its approach to managing information. Historically, data and its management have been separated by environmental media and program boundaries resulting in system silos. The current transformation is breaking down these silos to create an enterprise or agency-wide, standardized governance system that enables greater data accessibility and usability across media and programs, and has resulted in improved data aggregation making it easier for data-driven decisions (an MPCA value). Key data, information, and Knowledge Management properties are managed as shown in Fig. 4.2-2. Business function teams have been created and representatives from each function team are members of the Information Systems Management Team (ISMT), which works closely with another state agency MN.IT@MPCA to manage information systems. MN.IT@MPCA is responsible for information systems while ISMT owns the agency’s perspective for our information systems. ISMT assures that information systems support MPCA business needs and provides governance within the business functions; advice and analysis to SLs on information management governance, including strategies, processes, policies and priorities, and system life-cycle planning. An ISMT sub-team collaborates to ensure hardware, software, and mobile devices are purchased through a standardized process considering cost, supportability, and user-friendliness.

4.2b(1) Data and Information Quality: MPCA employs several systematic approaches to manage data and

information accuracy, validity, and reliability. Much of MPCA’s data, especially the analytical data, are required by statutes, rules, and permits. Analytical data are collected and generated via approved methods documented in rules or guidance. Certified laboratories analyze samples by following recognized quality control procedures. Data review for validity and accuracy are dependent on program needs and resources; MPCA QA/QC staff provide training to programs involved in data review. The agency has a Quality Management Plan, which describes the quality management structure and processes used for specific programs submitting data to EPA. MPCA strives for standardization and quality assurance through use of structured programs, use of Tempo, and with constant development of EQuIS. The agency is focusing on getting more data submitted directly into databases from customers and partners, allowing data to be more accessible and quickly available.

4.2b(2) Data and Information Security: Most of MPCA data are public data, but there are categories of non-public data that must be protected. Federal law, Minnesota state statute, and temporary classifications determine which data are not public. Internal access to electronic data are controlled through log-on and password processes, access set by job function, and training. Hard copies of non-public data are stored in locked areas. Changes to forms and processes have been made to minimize and, where possible, avoid collecting non-public personal identifying information.

The security of systems is ensured through firewalls and spam filters that prevent unauthorized entry. All network logons require frequent password changes. Wireless access into the staff network is secured through individual sign-on and data encryption. Server access is controlled via a security badging system, which allows only authorized personnel access to the server room. MN.IT@MPCA works with MPCA to ensure that cybersecurity meets industry standards, including security configurations for equipment, layers of protection, and applications security scanning. Cybersecurity risk assessments are conducted annually to identify gaps. MN.IT@MPCA also responds to security incidents. Security training is mandatory for MPCA and Mn.IT staff, and the appropriate policies, standards and procedures are in place for the most critical systems and in process for others.

4.2b(3) Data and Information Availability: MPCA data and information are available through multiple systems and applications (e.g. web pages, data systems, document management, reporting software, etc.). Levels of access and timeliness are dependent on the user category, as well as appropriate use and needs (e.g. daily cycles). User- friendliness is based on user needs applied to system design and configuration. Key system upgrades address user- friendliness, as applicable.

Fig. 4.2-2: Information Technology Attributes Property How Precision, accuracy, reproducibility (quality)

Statutes/rules/permit/guidance Use of standard methods, data submittal templates or forms, SOPs Audits/inspections Data entry validation Automated data flow Quality Management Plan Project and program QAPPs Audits/certification of labs

Integrity & reliability

Statutes/rules/permit/guidance Use of SOP & methods, data submittal templates or forms Audits/inspections Data review Required laboratory format for submittal of data to EQuIS

Currency Frequency of submittal depends on rules, permits, programs, policies and procedures, and MN data classification practices statute Submittal of data specifications SOPs on when data is made available

Security and confidentiality

Firewalls and spam filters; secure wireless network; password authorization/expiration; security awareness training; enterprise information security; monitoring; IS incident response and forensics; enterprise vulnerability and threat management; hard drive encryption; identity and access mgmt.; intrusion detection prevention; security certificate mgmt.; threat mgmt.; server physical security


MPCA uses different tools such as contracts, memos of agreement, and work plans to provide a framework for our various users on how the data are provided and available. MPCA provide training and guidance to users of the various systems and applications. Processes are documented to ensure effective use and accessibility. MPCA follows both the State of Minnesota Electronic and Information Technology Accessibility guidelines and the federal Section 508 Standard for Electronic and Information Technology (Fig. 5.1-6).

4.2b(4) Hardware and Software Properties: MN.IT Enterprise sets hardware and security standards for state government. MPCA, through ISMT, works with MN.IT@MPCA to discuss its priorities and needs (including reliability and user-friendliness). MN.IT@MPCA collaborates with MPCA’s CFO and deputy commissioner regarding options and efficient use of funding. Deficiencies in reliability and user-friendliness are addressed by IT projects and/or IT maintenance, as well as through business process improvements. User acceptance testing by multiple stakeholders ensures that in-house and purchased software applications are functional, reliable, and user-friendly. As new features or improvements are added to systems, the changes are verified in a test environment before going live. While MN.IT@MPCA has performance metrics regarding reliability and security, user-friendliness metrics are the responsibility of the business. The agency has identified this area as an opportunity for improvement.

4.2b(5) Emergency Availability: Emergency plans are in- place for all offices, and include a mechanism for transitioning to the Continuity of Operations Plan (COOP) for incidents that go beyond eight hours. An emergency impact assessment and a business impact analysis were conducted to determine the impact of an emergency on business recovery. New procedures were put into place for off-site document storage, functioning without computer files for possibly up to 8 weeks, backup data storage tapes, pertinent data to be copied onto electronic data storage media, and moving processes to a regional office. The COOP details the requirements as well as the availability of information in archives and off-site records storage locations. For the Emergency Plans and COOP, MPCA relies on MN.IT@CPA to provide necessary hardware and software, and to manage information technology platforms and IT system security. MPCA works closely with MN.IT@MPCA to determine processes, hardware and software purchasing at time of disaster, and data recovery. The COOP designates MN.IT@MPCA representation within MPCA’s incident command structure. Key functions of the MN.IT@MPCA representative are damage/system disruption analysis and provision of equipment to the Incident Command Team to ensure access to the Internet and email. Emergencies involving the St. Paul office impact the entire agency, and catastrophic emergencies may result in 6 weeks of

infrastructure downtime. Procedures are in place for communicating with customers and stakeholders on the status of our recovery and expectations.

Category 5: Workforce

5.1 Workforce Environment 5.1a(1) Workforce Capability and Capacity: MPCA’s workforce capability is reflected in the credentials required upon entry into our workforce. Entry-level professional science/environmental positions minimally require a degree or prior professional-level in the field. Capability is also reflected in the balance of the external and internal experience of our workforce (Fig. 7.3-1).

MPCA has little difficulty recruiting qualified staff for entry- level professional positions despite the fact that the private sector and other state government may offer higher salaries. The appeal of our mission, the favorable work atmosphere, our appreciation for work/life balance, and a reasonable compensation/benefits package make MPCA an employer of choice and is reflected in our low turnover rate (Fig. 7.3-2). A key concern is the difficulty in filling critical higher level scientific-technical positions in the organization. Strategies to help manage this problem are found in the agency workforce plan.

The amount of work MPCA has the capacity to accomplish depends on the amount of funding it receives from the Legislature or EPA. This amount is largely outside MPCA’s control. MPCA has limited flexibility to move money from certain programs to others in response to shifting priorities. Therefore, certain MPCA programs may have greater capacity than others, depending on both the amount and the sources of funding for that particular program. Within MPCA programs, it is common to shift resources to increase capacity in one activity at the expense of others, as priorities are set. The result is that, in many MPCA programs, capacity may not be an issue with respect to one program activity, but may be a serious limitation in another, sometimes by choice (Figure 7.3-4). Capacity issues arise when funding is reduced, when the amount of work increases, or both. Funding can be reduced directly through legislation, reduced indirectly when an activity that provides a source of revenue declines, or simply when the buying power of a fixed appropriation shrinks due to inflation over time.

Simultaneously, MPCA work has also become scientifically, technically, and administratively more difficult over the years reflecting advances in knowledge and technology and the growing awareness of citizens about the impacts of environmental issues on their lives. Typically, customers and partners see the benefits of MPCA programs and demand that they be expanded to provide more and better services


to more constituencies. At other times, the Legislature or EPA adds requirements without a corresponding increase in funding. MPCA’s environmental ethic and customer service culture drive us to want to do more rather than less — even if we are not adequately funded or staffed to do so. MPCA also encounters capacity issues because it strives to keep the size of its workforce within its means despite recurring internal and external pressure to do more with sometimes fewer resources. (Fig. 7.3-4) The discipline MPCA exercises in limiting the size of its staff is evident by the fact that, in its 49 years of existence, MPCA has only laid off 4 employees. Of those four, 2 were offered and accepted other positions within MPCA, 1 retired and 1 found other employment.

5.1a(2) New Workforce Members: The agency’s recruitment, hiring, and placement 4-step process begins when the hiring supervisor completes the vacancy packet (Fig 5.1-1), which includes specific knowledge, skills, and abilities for the position. Candidates are recruited using a variety of means including; MN Jobs, MMB, the state diversity coordinator, career fairs, Twitter, personal networking, current and former volunteers, student worker pools, informational interviews, state fair, newsletters, and professional conferences. Candidates are vetted by interviewers that consider — among other things — capacity and capability, diversity, geographic location. New employees receive formal onboarding, including an introduction to the agency through 2 days of New Employee Orientation, a meeting with HR, and job shadowing/training specific to their position. Retention of new and existing employees is accomplished by supporting a strong connection between employees and MPCA’s mission along with competitive benefits and a workplace that emphasizes work-life balance, employee recognition, telework opportunities, job movement within MPCA, and job security. Training and professional development opportunities are also supported through MPCA’s active performance management system. At the beginning of each fiscal year, a supervisor and employee agree on a workplan and measures for the year, some of which may be developmental in nature. The measures are tied to unit/section/ program/agency strategic and/or operational objectives.

5.1a(3) Workforce Accomplishment: Each division, section, program and unit provides key services in accordance with their expertise and strengths, collectively necessary to

accomplish the agency’s mission. Individual work plans, which are cascaded from the SP (Fig. 2.1-2), are developed and reviewed at least annually for consistency with their contribution to agency’s strategic/operational measures and aligned with the unit/section/program/agency workforce plan. Measures are set and tracked at the appropriate level, and responsibility for individual measures is assigned based on agency priorities and core competencies. The results are used to align work assignments with strengths to maximize the work force and agency work products.

Customer focus is a core element of the continuous improvement (CI) culture at MPCA. All CI projects involve an element of customer research. All leadership, and many staff have received formal training on CI concepts. Almost all managers have been trained on Results Based Accountability. Each division tracks CI projects and progress, and measures are reported quarterly at the SLs weekly meeting. Additionally, the agency recognizes employees that have made outstanding CI contributions annually. We use CI problem solving tools on a daily basis. The agency’s CI work and focus on employee strengths drive performance.

5.1a(4) Workforce Change Management: The agency prepares the workforce for changes in capability and capacity through training and communication. The most recent agency workforce plan was developed in 2015 to address the aging workforce, shortages of skills in certain disciplines, the need to maintain focus on productivity and quantification of our results, and the belief that a nimble, multidisciplinary workforce allows us to better adapt to a fluctuating fiscal environment. As identified in Fig. 5.1-2 the agency uses a number of strategies to address needs and ensure continuity, including training, advancing education, mentoring, and early backfills behind critical positions. The agency uses CI tools like process maps to capture and transfer critical knowledge.

Program Plans (2.1a1) are written to anticipate and respond to changes. As part of preparing and reviewing the Program Plan managers are asked to document how and whether they are meeting the work demand and anticipate whether demand for services is increasing and within the capability of the existing workforce. Individual work plans are updated and reviewed to include training and development opportunities. SLs regularly discuss vacancies and

Fig. 5.1-1: Workforce Hiring Process

Vacancy packet developed

• Supervisor details knowledge skills and abilities and updates workforce plan

Review for consistency with program and spending plans

• Manager, director and fiscal

Review for agency- wide classification consistency

• Assistant division directors

Determine classification and applicable contract requirements

• Human Resources


strategically manage positions consistent with capacity trends and the agency workforce plan. The Program Plans feed the unit and section work plans such that the agency strives to remain nimble and ready for periods of growth or retraction. Additionally, staff members have been reassigned in programs to higher priority work during periods of growth or retraction.

Organizational demands and changes are foremost communicated using person-person interaction in Division Management and Leadership meetings, division-wide emails, all-staff emails from the Commissioner’s Office and daily PCA Today messages.

5.1b(1) Workplace Environment: Workplace health, security, and accessibility (Fig. 5.1-3) are addressed primarily through 1) employee wellness programs, 2) MPCA’s occupational health, safety and risk management program, and 3) workplace policies, guidance and procedures on safety, accessibility and reasonable accommodations. MMB’s StayWell®, Employee Assistance Program (EAP), and Work Well programs provide MPCA employees with personal health coaching and assessment; 24/7 confidential,

personal, legal and financial consultation and referrals; and support for MPCA’s worksite wellness programs. During open enrollment each year, employees have the opportunity to take a health assessment. Those completing the assessment receive a health profile and personalized wellness plan and a $5 reduction in office visit co-pays for the year.

Work/life balance ranked as the number one reason employees stayed with MPCA in a 2011 survey. The agency’s telecommuting and compressed work schedule policies support the work/life balance as well as the environment. Additional offerings include (*available agency wide): · Sustainable foods on café menus · CSA and organic dairy programs · Bicycle lockers, shelter, and racks · On-site fitness center in St. Paul. · Telecommuting* · Compressed work schedules* · Walk/run/bike health challenges*

Fig. 5.1-2:


MPCA has a comprehensive Safety, Health and Risk management program to ensure and improve the preservation of Occupational Health for employees. Annual safety and health goals are established by the governor (MnSAFE). Objectives and efforts to achieve the governor’s goals are established by MPCA SLs.

The safety director helps leadership implement the safety objectives and provides oversight for the safety committee, which helps deploy specific safety needs associated with different workplace environments and receives feedback on needed improvements. Occupational health and safety programs and activities for all our workforce segments align with the governor’s MnSAFE and agency goals and objectives (Fig. 5.1-4).

The exposure to or potential for exposure to hazardous materials and waste exists for field staff. Their health and safety is ensured through our Employee Right to Know, Medical Surveillance, Personal Protective Equipment (PPE), and Respiratory Protection programs. Building security

methods are tailored to each location, and the goal in all facilities is to design and manage safeguards to reduce the risk of threats and respond effectively to emergencies. MPCA uses vendors, local law enforcement, and in-house security assessments to make improvements in security. Shuttle service from remote parking lots, security guards, incident report database, visitor log-in sheets, temporary badges, and daily auditing of badge access are also used to ensure security in St. Paul. Regional offices have locked space with buzzer access for security, or security improvements are underway. Several metrics are used to measure our ability to reach

and sustain our safety goals set by Governor Executive order (Figs 7.3-5 through 7).

MPCA ensures accessible buildings under Title II and III of the ADA through all its office lease agreements, builds an inclusive workplace through its biennial Affirmation Action (AA) Plan, and ensures accessible information by compliance to state and federal electronic and information technology standards and the World Wide Web Consortium’s standards (Fig. 5.1-5).

Figure 5.1-4: Workforce Safety Goals and Measures

Measure Goal MNSafe Targets

Result

Worker’s Compensation Claim Rate

5% annual reduction

0 Fig. 7.3-5

Total Recordable Injury/Illness Rate · Days away/restricted/trans-

ferred rate · Days away injury/illness rate

5% annual reduction

0 Fig. 7.3-6

Incident severity rate (LT/RT/TX) 5% annual reduction

0 Fig. 7.3-7

Figure 5.1-3: Workforce Health & Safety Strategies and Goals

Workforce health and safety strategies · Workplace safety and security inspections · Controlled entry at all facilities and

“unwelcome guests” checklist for use by reception staff

· Send Word Now mass communication · Emergency plans tailored to each facility · Green Tree rooms for active shooter response · Ergonomics evaluations (includes

telecommuter home office) · AEDs in each facility · Employee Safety Issue Reporting Process · Safety questionnaire for every job vacancy · Occupational health and safety policies,

guidance and metrics · Workers' Compensation Program · Classroom and online health & safety training · Computer ergonomics training · Sit/stand workstations · DNR or local law enforcement escorts for

employees entering known or potential hostile situations

· Workplace Security Awareness, and Respectful Workplace training

· Customer feedback to Safety Committee

Fig. 5.1-5: Accessibility Strategies Buildings St. Paul

· ADA lateral transfer unisex restroom · Assistive listening devices in first floor conference

rooms. · ADA signage St. Paul and regional offices Lease agreements requiring compliance with ADA Title II and III

People · Designated AA and Reasonable Accommodation Officer

· AA plan goals for decreasing disparities for persons with disabilities

· Quarterly reports to MMB on disparate hiring · Reasonable accommodation policy · Annual report to MMB on reasonable

accommodations made to individuals Information · Compliance with State of MN Accessibility Standard

& Federal Section 508 · Adoption of World Wide Web Consortium’s

(WWW) Web Content Accessibility Guidelines (WCAG) 2.0 AA as a standard

· Use of Siteimprove to improve accessibility of webpages and closed captioning for videos

· MNIT validation of MPCA’s website with an accessibility scanner, Wave tool and WebAIM’s WCAG 2.0 Checklist

· Designated Web Accessibility Coordinator


Fig. 5.1-6: Workforce Policies, Benefits and Services

Category Policies, Benefits, & Services

Adm

inis

trat

ive

Tech

\Pro

f.

Lead

ersh

ip

Stud

ent w

orke

r

M.IT

@PC

A

Volu

ntee

rs

Health Health & dental insurance X X X ** X StayWell® health assessment & wellness programs X X X ** X Employee Assistance Program (EAP) X X X X X Separate sick and vacation paid leave accruals X X X X X Variety of paid and unpaid leaves of absence X X X X Agency sponsored wellness programs X X X X X

Financial Employer paid basic life insurance X X X ** X Managers Income Protection Plan (life and disability insurance) X X Optional insurances (life, disability, AD&D) X X X ** X Health Care Savings Plan (HCSP) for reimbursement of post-employment medical expenses X X X X Severance pay X X X X Retirement plans (Pension & Def. Comp) X X X X Pre-tax/flexible spending accounts (FSA) X X X X Credit union and discounted banking services X X X X X Medical, dental and optional life plans for retirees X X X X Adjustable workstations and standing height work spaces X X X X Nursing mother rooms X X X X X On-site cafeteria (St. Paul) X X X X X X State Service Recognition Awards X X X X X Achievement awards X X X Respectful Workplace training X X X X X Affirmative Action Plan and prevention policies such as zero tolerance of violence, & harassment/discrimination prevention

X X X X X X

Regularly scheduled joint labor management meetings X X X X Work Environment

Telecommuting policy X X X Hours of work policy (compressed schedules and flex time) X X X Vacation donation program X X X X Call-in, call back and on-call payments X X X Pay differentials for agency response commanders X Special assignment/project overtime provisions for FLSA exempt employees X X Pay differentials and overtime compensation more generous than FLSA law X X

**Depends on number of days & hours worked

5.1b(2) Workforce Benefits and Policies: MPCA supports its workforce through HR policies and comprehensive benefits and services. Items bolded in Fig.5.1-6 are among the top 10 reason employees stay at MPCA (2011 survey).

Key cycles of evaluation and improvement for Workforce Processes are shown in Fig. P2-3.

5.2 Workforce Engagement and Performance 5.2a(1) Organizational Culture: MPCA’s mission and core values provide the basis for an organizational culture of open communication, engagement, and high performance. The shared commitment to the agency’s mission fosters communication at all levels. MPCA’s organizational structure which relies on vertical lines of reporting and a lateral (matrix) reinforcing design requires that communications take place among divisions to deliver and improve environmental programs. Leadership throughout the agency has an informal open-door policy to discuss ideas

and concerns of all staff. Leadership communication takes place via regularly scheduled meetings of senior leadership, division leadership, and section leadership. The Management Teams and Forums foster communication across divisions. Open communication among staff, supervisors, and managers is achieved through individual and staff meetings, mentoring and coaching, and performance evaluations.

Achievement awards, a multi-tiered staff recognition program, and an annual engagement survey are all linked to agency core values and are intended to create a learning organization atmosphere. MPCA seeks to be an employer-of- choice using employee-led continuous improvement initiatives and wellness activities to create a robust agency morale and work ethic (Fig. 5.1-3). During the year, employees can choose from many primarily staff-led events to gather informally and create a sense of community.


5.2a(4) Performance Management: MPCA supports high workforce performance and engagement through a four- component Performance Management System (Fig. 5.2-1). In 2014 and 2015 surveys by the Human Resources

Fig. 5.2-1: Performance Management System

These opportunities tend to be location-based with the regional offices offering different events than the St. Paul office due to the differences in size.

5.2a(2) Drivers of Engagement: The agency’s engagement surveys align well with the well-accepted Gallup definitions of workforce engagement that are supported in organizational development literature. MPCA has used between 20 to 30 questions in engagement surveys to measure these six factors:

· Overall job satisfaction · Recognition/career advancement · Senior leadership · Direct supervisor · Coworker performance/cooperation · Organizational effectiveness.

Other formal and informal data collection efforts also gauge employee engagement and levels of satisfaction, including continuous improvement project customer research, and data from MMB surveys (5.2a3). In part because of employee concerns about anonymity, engagement survey results are analyzed at the division and section levels.

5.2a (3) Assessment of Engagement: MPCA administered annual engagement surveys in 2006, 2009, 2011, 2012, 2014, and 2015. MPCA has high participation rates of between 60 to 80% from employees. The percentage of employees who indicate they are engaged in the organization increased steadily from 75% in 2006 to 80% in 2014. The national norm across sectors was 71%. In 2015, the engagement rate rose to 83% although a new survey tool was used. The next survey will be in 2017. MPCA also receives data from MMB, which conducts employee engagement surveys during the annual open enrollment period. The Manager Team reviews the data and recommendations for action, as do the SLs. Assignments for follow-up are made to Management Teams and others as appropriate. The results are available to all staff, and communicated in the e-newsletter. Divisions also hold staff discussions on the results.

Management Team, leadership named these as the primary goals of MPCA’s performance management system:

· Drive performance improvements, productivity and

outcomes · Use employee strengths to the fullest to advance the

agency mission · Develop and grow the employee

Each staff receives an annual performance appraisal, which consists of three primary parts. The first part evaluates how employees perform their work and whether that work is aligned with agency core values. The second part provides feedback on employee performance related to the workplan measures and objectives established at the start of the year — what they did. The third part addresses employee development planning that identifies both professional development and training needs for the coming year and assesses the accomplishment of development objectives for the prior year.

The agency continues to build a culture where performance management means year-round, effective and meaningful conversations with staff about performance and development rather than relying solely the annual appraisal. The agency’s guidance for regular “check-ins” encourages conversation about work status, data and document management, professional development and training, and overall well-being and engagement. Employee work performance issues are addressed through coaching, written letters of expectations, and progressive discipline. The contracts and plans provide a grievance process for

· Chili cook-off · Combined Charities

campaign events · Eco-Experience staffing

at the State Fair · Plant exchange · Treasures table · Read Aloud program · Leadership Forum · Brown bag slide shows:

staff share travels

· MPCA/ DNR house band and choir

· Lunch hour exercise sessions: yoga, Pilates, Tai Chi

· Division holiday potluck luncheons

· Bargaining unit lunches · Earth Week Events


disciplinary action and help ensure just cause standards are met.

Individual employee work planning is done July through October of each year, and performance against work plan measures is discussed at multiple levels during the year, depending on the work activity, at individual meetings, at unit meetings, and in team meetings. Training and development opportunities for the coming year are discussed in the work planning process and captured in the annual performance appraisal.

MPCA’s compensation is subject to the state’s merit-based personnel management system, which includes following statewide policies and procedures on job classification and salary administration. Salary ranges are assigned by MMB for each job classification, and the job classification assigned to an individual position is based on the duties and job responsibilities of that position. Compensation is collectively bargained or provided through compensation plan agreements for unrepresented employees. All contracts and plans must be approved through the full Legislature. If approved, contracts and plans provide for annual progression increases for employees not at the top of their salary range. There are no additional increases to offer employees with higher than satisfactory performance; however, step increases can be withheld or delayed for employees with less than satisfactory performance. Employee promotions are governed by state administrative procedures, but offer another method of issuing salary increases to employees who take on the work of a higher level job classification. Promotions happen through the internal hiring or reallocation process. Some of the contracts and plans allow for more generous overtime and/or special project compensation than required under the FLSA.

Given the boundaries that exist around the compensation options the agency can offer, incentive, reward and recognition practices are an important part of the agency’s culture. For example, employees highly value the agency’s support of work-life balance through the opportunity for staff to work a “flex” schedule with one day off each pay period in exchange for working 9-hour days. The agency also supports flexible hours for staff as permitted by the specific job responsibilities and is a leader among state agencies through the telework policy it has developed and implemented.

The agency has a wide array of rewards and recognitions for high performance (Fig. 5.2-2).

Intelligent risk-taking is supported through the agency’s continuous improvement activities and learning organization culture. (4.1c3.) Innovation is an agency value that has been recognized at the state and national level (Fig. 7.4-16). A detailed list of regional and national innovation awards is AOS.

Innovation is recognized in our formal recognition programs. The job security that union membership provides supports risk taking by employees.

The agency’s performance management system reinforces the customer focus and needs in the following ways: · The annual performance appraisal includes a specific

measure related to customer service. · The employee’s annual work plan is derived from the

program and business plans that consider the customer needs.

· The position description for each employee outlines the internal and external relationships that are part of that position.

5.2b(1) Learning and development system: The agency requires that all employees become proficient in their designated program area. Accordingly, the agency arranges for program-specific technical/environmental and safety training (CC1) for all personnel. Employees may take online training or attend local classes to improve proficiency (CC2). For example, a new training option allows staff to take relevant courses from Century College.

Upon entering leadership positions, new leaders are required to take State supervisory or managerial training. Ongoing training for agency leaders is provided through monthly HR issue sessions and topics presented during leadership and division meetings. For example, “Difficult Conversations” training was required for supervisors after staff identified the need in the 2014 Employee Engagement Survey. Feedback from managers and supervisors also resulted in training being provided on the topics of “hiring challenges” and “remote supervision”. MPCA specific Leadership training is under development.

MPCA offers continuous improvement courses to all staff in the subject areas of “CI Problem Solving” and Lean, emphasizing customer focus and research. Supervisors and managers are required to complete a six-month continuous improvement training program that include leading a continuous improvement project.

Ethics is addressed with staff at new employee orientation, through online policy statements that employees must read and sign annually, and via mandatory training in topics such as data practices and respectful workplace. (1.2b) Leaders receive additional ethics training at the state’s required

Fig. 5.2-2: Reward and Recognition Methods Recognitions Rewards Ongoing: · Personalized note from the

Commissioner’s Office Annual: · Voyageur’s Award (peer to

peer nomination) · Gordie Award for innovation

and continuous improvement

· Achievement or Service awards as specified per contract and funds allocated

· Service awards · Governor certificate at

retirement (optional, based on employee choice)


supervisory and managerial training and through selected topics at leadership meetings.

MPCA uses multiple mechanisms to ensure knowledge transfer (Fig. 4.2-1). In response to a recommendation in the agency workforce plan, a formal mentorship program is being developed to address critical position succession planning concerns. Going into 2016, developing this program was the number one priority for the Human Resources Management Team. Process maps serve as a useful knowledge transfer mechanism. Since 2010, the agency has put an emphasis on mapping and archiving our major processes to serve as a basis for CI projects, and as a knowledge transfer tool (Fig. 7.1-27). The agency also has fact sheets and pages on its website containing programmatic information. Although designed primarily for outside customers, these serve as a knowledge transfer mechanisms for our staff.

Finally, in circumstances where knowledge transfer is considered particularly critical, the agency occasionally “double fills” positions so the departing employee and their successor can work together on issues in real time.

5.2b(2) Learning and Development Effectiveness: Effectiveness is evaluated through course evaluations. All state and MPCA training use formal evaluations. Trainers use surveys as feedback on training effectiveness. For example, the leading CI course was improved based on participant feedback. The average rating for the training increased from 4.07 to 4.24 on a 5-point scale from 2013 to 2015.

5.2b(3) Career Progression: Career progression discussions start at performance reviews and are governed by several factors at MPCA. A typical career ladder consists of an employee gradually advancing through the multiple steps within a state-established job classification over time. The rate of advancement is determined by the work the employee performs, how well they do it, and time in service. Most agency employees are represented by unions that work collaboratively with management and the Legislature to set compensation rates and benefits packages. The agency’s Managerial and Commissioner Plan employees are represented by the State’s Management and Budget Department (MMB), with both MMB and the Legislature setting compensation rates and benefit packages.

For example, MPCA’s most common job classification series is Environmental Specialist. There are currently four levels in the series. Depending on the level of responsibility and discretion associated with the position and the employee’s skill in executing assigned tasks, the employee will progress through the series at varying speeds. There are some restrictions on how quickly one can advance through the series based on time in service, but MPCA emphasizes job

performance rather than time in service when making decisions regarding career progression.

Throughout the years, the agency has adapted the number of job classifications in use in response to: 1) changes in the agency’s responsibilities, 2) our desire to have a manageable and meaningful number of job classifications, 3) ensure pay equity, and 4) facilitate the ability of employees to transfer to positions inside MPCA or other parts of state government to broaden their experience and enrich our workforce. In 2016, SLs made career progression a special focus of the Labor Management Committee and created new steps in the Environmental Specialist series.

Through the course of their careers, personnel gradually advance through the steps in their particular job classifications, and commonly switch classifications to broaden their experience. Employees further prepare themselves for leadership positions by participating in the Senior Leaders Institute, Emerging Leaders Institute, the agency’s own Leadership Academy, or other training opportunities they deem of value. MPCA’s Management Team assignments also offer opportunities for learning. When leadership positions open, we have more people qualified for leadership positions than we have positions to fill. Moreover, we find there are a substantial number of well-qualified external candidates who routinely apply for leadership positions at MPCA. Our workforce plan indicates no special succession planning process for leadership is necessary. The current framework generates many more capable leaders than are required to meet our needs. Key cycles of evaluation and improvement for Workforce Processes are shown in Fig. P2-3.

Category 6 Operations

6.1 Work Processes 6.1a(1) Product and Process Requirements: MPCA’s key work processes are driven by its Strategic Plan goals. The majority of key process requirements are mandated by federal and state law. Other key requirements are based on environmental data monitoring results, customer and stakeholder requirements, and/or MPCA’s core values. Fig 6.1-1 lists the key work systems, work processes, requirements, and measures. These requirements are determined through gathering of mandated and customer/stakeholder requirements, and validated/ reviewed by SLs and process owners to ensure they are accurate and effective to manage and improve the process, when appropriate (6.1b3).

6.1a(2) Design Concepts: Since 2004, MPCA uses Six Sigma DMADV and DMAIC methodology to design and improve key work processes (e.g., contracts, permitting) (Fig. 6.1-1). The need to re-examine if current work processes are meeting


key requirements is driven by new legislative mandates and environmental data, and stakeholder and customer feedback ,via listening methods (Fig. 3.1-1) on outdated technology or ineffective work processes. The DMADV method is employed in situations where there are no existing work processes to address a key regulatory, customer or stakeholder requirement. DMADV projects include 5 steps: 1) Define (D) opportunities, i.e., project goals in relation to customer requirements, 2) Measure (M) how the current system is operating to meet key requirements and determine additional customer requirements, 3) Analyze (A) process options to meet customer and stakeholder needs, 4) Design (D) processes in more detail to meet customer and stakeholder needs, and 5) Verify (V) the performance of the process, particularly in terms of its ability to meet customer and stakeholder needs. For example, MPCA followed DMADV processes to create and design its new Tempo computer system and its processes.

For smaller design projects (i.e. recycling in state agencies), MPCA uses a four-step model (PDCA) for designing and carrying out change. The steps in PDCA include Plan (P) defining the problem, Do (D) developing solutions and carrying out an implementation plan, Check (C) monitoring effectiveness of the new process, and ACT (A) adjusting the process if key requirements are still not being met.

These 2 systematic methodologies enable MPCA to ensure that as new processes as well as current processes are (re)designed, new technology, customer and stakeholder expectations, and agility are identified and built into the system, and checked and monitored for effectiveness at meeting these requirements.

6.1b(1) Process Implementation: MPCA’s key work processes shown in Fig. 6.1-1 and 2.1-4 reflect the Strategic objectives developed in the SP. Each work process has a SLs owner, a measure owner and associated SOP. Program work processes are documented and stored in a database (7.1- 27). The process owner and the review schedule are determined by the programs. Measures of success may also be established by the process owner. MPCA is currently piloting RBA at the program level in one of our divisions.

6.1b(2) Support Processes: Key support processes at the agency include HR, contracts, IT, fiscal, data governance, legal, contracting, continuous improvement and communications. Many of the key support processes are a result of state and federal regulatory requirements. Others were initiated by SLs to support and enhance the agency’s key work systems and processes. All of these processes are managed through the Operations Division. Customer focus and strategy direction is provided through the Fiscal, HR, CI, and IT Management Teams; and are subject to requirements from other state agency systems: MMB, MNIT, Dept. of Admin, and Attorney General’s Office. Management Team

discussions can result in additional internal support process requirements being set for day-to-day operations. The teams also identify and address opportunities for improvement. In areas where MPCA has more control like data governance, continuous improvement, and communications, we set our own goals and objectives and work to manage them.

6.1b(3) Product and Process Improvement: MPCA has a long history of conducting process improvement activities to enhance our key work processes. Since 2004, MPCA has used DMAIC, DMADV, PDCA, and Lean (CI) tools to improve 105+ key and sub-processes. Since 2010, MPCA has mapped and stored over 600 work processes in the Process Inventory Database. 95% of MPCA’s of the 120 SLs, managers and supervisors have been trained in the DMAIC method, and over half of SLs and managers have been trained in RBA. For process improvement projects, MPCA follows the major DMAIC steps of Define (D) the problem, Measure (M) how the process is performing, Analyze (A) what is preventing us from achieving our objective, Improve (I) the process by eliminating the root cause of problems, and Control (C) the outcome by implementing the solutions and sustaining the results (P.2C).

Each year, the CI Management Team develops a Continuous Improvement (CI) Deployment Plan based on a workplan approved by SLs. This plan establishes the direction for continuous improvement activities for the next year. The CI Deployment Plan lays out the timing for the: a) Quarterly CI project check-ins with SL b) CI training for leadership and staff c) Monthly CI newsletters d) Gordie Award acknowledging individual process

improvement contributions e) CIMT review of Strategic Plan results to identify of

potential CI projects f) CIMT report out at agency managers meeting

CI project selection and management is accomplished at two levels within the agency. Annually (or as needed), all divisions identify opportunities and needs for improvement of processes both at the division and/or agency level. SLs may also suggest agency-level processes to be improved or designed. Their suggestions may be based on results/comments from the employee engagement survey, process results and measures, or areas where they believe there is a need for improvement. Succession planning for retiring employees, awareness of a potential risk or a staff suggestion has also led to the initiation of improvement projects. Divisions manage their own CI projects via the CI Project Tracker database. If the improvement project requires multiple divisions or other state agencies to be involved, then SLs discuss the potential project. Division directors regularly report to the deputy director on their CI projects, and once a quarter there is a division CI project update at the senior leadership meeting.

MPCA 2016 PEN Application

Fig. 6.1-1: Key Work System, Key Work Processes and Support Processes, Requirements, and Measures

KWS KWP CI projects - Details AOS

Key Requirements (MPCA Objectives) Key Measures

C Remediation (restoration, cleanup and emergency response)

9 specific improvement projects from 2006-2014

Prepare sites for continued use or reuse (fed and state law) · Amount of polluted land is being returned to productive use E1 (AOS)

· 90% of VIC responses within 30 business days – E2 –(7.1-9)

M&A Monitoring/ analysis


Monitor conditions of surface and ground water and analyze data in a timely manner (Clean Water Legacy Funding and legislative expectations) MN outdoor air quality (fed and state law) Reduce MN contribution to global mercury levels (air) (Fed water quality law- Hg TMDL, stakeholder TMDL agreement) Reduce MN GHG (State law)

· % watersheds with IWM data – E1 – (7.1-12) · Air quality for Twin cities (7.1-1) and Days with Air quality alerts

(7.1-3) O– · Mercury Emission Reductions (7.1-16 and17) · Long term water quality (7.1-6a and b)

P,M,C, M&A

Standards, policies and rules


Reduce MN Greenhouse gases (State law) Regulate point source discharges to protect uses and maintain major watershed strategies (Fed and state law)

· %facilities reporting timely – E2 - · Tons of emissions reduced – E1 - (7.1-22) · Water pollutants reduction (7.1-5, 7.1-16) · Air pollutant reduction (7.1-1 through 7.1-4) · Land pollutant reductions (7.1-9 through 7.1-11)

P,M Permits, licensing, certification


Prevent and control pollution from regulated facilities through efficient permitting and C&E (Fed and state law)

· % of permits meeting timeliness goals – E2 –(7.1-20) · Waste water certification – E1* (AOS)

P,M,C, M&A

Non-regulatory assistance & partnerships


Manage nonpoint discharges to protect uses and maintain consistency with major watershed strategies (MPCA management strategy) Provide direct technical assistance to prevent and /or reduce the amount of pollution generated (State law) Facilitate environmental understanding and partnership through communications and outreach (State law) Ensure waste is reduced, recycling and organic recovery is increased resource recovery capacity is maintained (State law)

· Clean water fund performance report – E1 (7.1-8) · Money saved by providing technical assistance – E2 (7.5-20) · Diesel emission reduction (7.1-21)

P,M,C, M&A

Grants/loans to customers plus contracts


Support local government capacity for implementing their role (State law)

· Cycle time to develop contracts – E2 -–(7.1-31) · Contract staff satisfaction – E1 –(7.1-23)

All Operational support: HR, fiscal, IT, data governance, communication, CI


Embed continuous improvement principles in the culture of the agency (MPCA management strategy) Retain a high-quality workforce (MPCA management strategy) Develop and maintain high quality accessible data systems (Fed and state law)

· Behavior changes in attendees of eco experience – E1 –(7.2-4) · # of CI projects – E1 - (7.1-24) · Employees motivated, aligned with work, diverse, happy E1 (7.3-

8 and 9) · Gov. Delivery engagement – E1 (7.2-8) · Prompt receivables (Fiscal) –(7.1-28)

P,M,C Compliance determination, enforcement & regulatory assistance


Regulate point source discharges to protect uses and maintain consistency with major watershed strategies (Fed and state law) Prevent and control pollution from regulated facilities through efficient permitting and C&E (Fed and state law) Ensure waste is reduced recycling and organic recovery is increased resource recovery capacity is maintained (State law)

· Compliance rates – E1 (7.1-22) · #of inspections/file reviews – E2 (AOS)

P,M,C, M&A

Reports (WRAPS, legislative & policy)


Lake, stream, wetland, and groundwater conditions are evaluated and communicated (Legislatively mandated reports (air, water and land)

· % watersheds monitoring & assessment reports done and web posted – E1 (7.1-7)

· #/% of WRAP studies completed in 4 years – E2 – (7.1-23)

Key: Key work systems (P=Prevention; M=Mgmt.; C=Clean-up; M&A=Monitoring & assessment; O=Operations; ( E1=Effectiveness, E2=Efficiency, O=Outcomes for 7.1 results)


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For the past 3 years, MPCA conducted a public CI symposium for our MPCA Board where key CI projects from each of the 7 divisions were highlighted. Without the MPCA Board, the SLs now hear quarterly updates that feature 2 CI projects reporting on improvement results.

The Organizational Improvement Unit has 4 CI coaches assigned to design, coach, and facilitate CI projects. The CI coaches also provide data analysis assistance and conduct DMAIC, Lean, RBA, and CI Problem Solving training for leadership and staff. The CI coaches work with CIMT to provide a monthly newsletter that highlights recent CI projects, along with CI tips for successful project execution.

6.1c Innovation Management: MPCA manages for innovation following both formal and informal processes. Our Learning Organization organizational value, use of the PDCA process, and focus on continuous improvement are at the heart of our informal innovation management process. Both staff and leadership are empowered to suggest innovations to meet individual and program needs. Ideas for innovation are welcomed for discussion at individual check- ins, unit and section meetings, and during formal performance review evaluations. Agency staff and leadership are encouraged to pursue strategic opportunities (both new ideas and redirection of effort) via formal and informal continuous improvement projects, program planning, and by recommending new ideas for funding as part of the annual budget plan development. Evidence of this can be seen in the divisions’ continuous improvement tracking efforts, discussions of program opportunities during budget development, and in the annual performance review process, where one review criteria involves “Actively seeking out continuous improvement opportunities and ways to conduct business more efficiently and effectively.”

The more formal innovation process involves identifying and implementing strategic opportunities via the legislative process. Following each legislative session, SLs discuss the outcomes of the session and begin planning for the next session. This involves identifying strategic opportunities, gathering additional information (including talking with customers), and discussing which are intelligent risks (2.1a2). If legislative action or additional funding is not needed, those opportunities are implemented via program plans. Where statutory changes or funding is needed, proposals are developed to move through the legislative process. Proposals that pass the internal screening process are then forwarded to the Governor’s Office for evaluation. Once proposals are approved by the Governor’s Office and included in the Administration’s legislative agenda for the year, the process is repeated based on legislative and further stakeholder feedback. When high-priority proposals do not make it through the process, the proposal is usually modified based on customer feedback and resubmitted for consideration in subsequent years.

MPCA’s transition to the watershed approach for water quality management is an excellent example of both formal and informal innovation management at work. A series of events in the early 2000s made it clear that a new State approach was needed to monitor, restore and protect water quality. Following a legislative audit completed at the request of MPCA, SLs worked with partners to develop a formal stakeholder group to help chart a path for the future. Ultimately this effort led to the passage of a new bill to organize MPCA’s water management activities around watersheds, and funding to significantly enhance these activities. The success of this broad effort to purse a strategic opportunity meant that MPCA programs needed to innovate to meet the aggressive goals set out in the new legislation. Fortunately, innovation had already been underway in the form of several pilot approaches that had been vetted through the SLs and received funding from the Legislature to test a new approach to monitoring. The success of those pilots — and the learning gained in the piloting process — became the foundation for program innovation that started with MPCA’s monitoring program and moved through our planning, and then our permitting programs. As a result of the successful identification and management of innovation, Minnesota has moved from a 100-year plan for identifying and addressing water quality problems to an iterative 10-year cycle. The process is currently being evaluated for improvement opportunities.

Key cycles of evaluation and improvement for Operations Processes are shown in Fig. P2-3.

6.2 Operational effectiveness: 6.2a Process Efficiency and Effectiveness: Key requirements such as cycle time, productivity, and effectiveness are established by legislative or federal requirement or management decision. We ensure key processes are standardized and meet customer needs while preventing defects and rework through our continuous improvement projects. Our permitting standardization and 150-day processing requirement is an example. Our general permits and self-service permits increase effectiveness and reduce costs. Piloting, testing, protocols, guidance documents, technical assistance, and training ensure that our staff, suppliers, consultants and applicants meet requirements efficiently. Extensive auditing processes, such as legislative or program audits exist at both state and federal levels. We create our own risk assessment to identify and manage risk and control costs such as a payroll risk assessment. We train our staff to catch and fix problems early, monitor progress of processes at key intervals and improve where necessary. Support services, such as fleet, purchasing and contracting are centralized to provide uniformity and consistency in service and reduce costs.

6.2b Supply-chain Management: MPCA use a four-step systematic process to manage its supply chain. 1) Establish


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service level standards and product specifications in each negotiated contract and/or purchase; 2) Identify and follow procurement policy, requirements and guidance established by the state requirements; 3) Secure contractors and hold them to the terms; and, 4) Evaluate contractors’ effectiveness. Staff who perform these procurement duties are trained initially with ongoing refreshers as needed. Those in official approval roles receive certifications and delegations of authority from the ADM, which must be renewed regularly and are subject to ADM audit. Centralized procurement specialists and mentors are used to improve consistency, raise knowledge, and prevent and reduce defects, project by project. For any contract over $5000, we use a thorough, standardized Request for Proposal process with detailed criteria for what work we want. MPCA evaluates the quality of the proposals submitted, including a rigorous, objective review of vendor qualifications and past performance as part of the competitive selection process. Contract terms and conditions are actively managed, issue resolution meetings are held, and cancellation occurs if a vendor is non-compliant. Once contracted work is complete, an evaluation of the vendor is posted on the state website (if over $25,000). If under $25,000, evaluations are accessible at MPCA. Vendors who sold inadequate products are noted in a complaint form filed with ADM.

6.2c Safety and Emergency Preparedness 6.2c(1) Safety: MNSAFE is the Governor’s commitment to workplace safety that requires a reduction in Workers Compensation claim rates. MPCA commissioner has signed and distributed a top-level “commitment statement” that establishes safety and health performance goals and expectations, including metrics, and improvement mechanisms. The Safety, Health, and Risk Management Policy establishes guidance for employees, supervisors, managers, and senior leaders. Necessary training, medical surveillance, and protective equipment are identified systematically through the application of a safety questionnaire. The Injury, Illness, and Incident Data Form (IDF) are used to collect information necessary to perform high-level causation analysis. Incident data are shared with MPCA Safety Committee to encourage lessons-learned discussions throughout the organization, especially among groups exposed to similar hazards. Incident recovery processes are established within the Workers’ Compensation

processes (Return-To-Work plans) and are enacted based on the nature of the incident. Inspections are conducted on a triennial basis by the St. Paul Department of Safety and Inspections, Fire Inspector’s Office for the St Paul office. Brainer Fire Dept. also inspected MPCA’s Brainerd Regional Office. The appropriate county also performs programmed Very Small Quantity Generator (VSQG) inspections of the hazardous waste storage location in the St. Paul and Brainerd Office. The Safety Administrator and Facilities Management conduct inspections of agency facilities informally.

6.2c(2) Emergency Preparedness: Emergency plans are maintained for each office. The plan addresses evacuation emergencies (fire, gas leak, major chemical spills), shelter in- place emergencies (severe weather, bomb threat, minor chemical spills), and utility disruptions. Building evacuation drills and emergency exercises are conducted regularly.

A Continuity of Operations Plan (COOP) is maintained in compliance with federal and state guidance to plan for recovery of operations (also see 4.2b6). Top priority services are specified, including responding to external environmental emergencies, maintaining Superfund and Closed Landfill sites MPCA is directly responsible for and maintaining the Air Quality Index. Emergency responders are staged at each office to provide redundancy to external environmental emergency response capability; and protocols have been established to continue to process the Air Quality Index (AQI) data through an external contractor. MPCA has documented its list of critical technological applications as well as suppliers and partners needed to recover from an incident. An annex to the COOP addresses the recovery from a loss of critical workforce that could occur in the event of pandemic situation. Immediate access to the COOP is assured through storage redundancy. Agreements with other agencies/vendors as well as emergency purchasing authority assures that critical services will continue at time of disaster, including purchasing, mail delivery, fleet, staffing resources, fiscal resources, space, lab testing, contracts, communications, technology, AQI data sharing, and contracts with external parties. The agency actively participates in Continuity of Government exercises.

Key cycles of evaluation and improvement for Operations Processes are shown in Fig. P2-3.