Awards and Recognition

TABLE OF CONTENTS

OVERVIEW

3.1 What is the purpose of this chapter? This chapter describes requirements and responsibilities for administering the employee recognition and incentive program in the U.S. Fish and Wildlife Service (Service).

3.2 What is the scope of this chapter? This chapter applies to all Service employees and non-employee partners.

3.3 What is the overall policy? It is Service policy to have an incentive awards program that consists of lump sum cash awards (also known as monetary awards), time-off awards, honorary awards, informal recognition awards, and quality step increases.

3.4 What are the authorities for this chapter?

A. Civil Service Regulations, Awards (5 CFR Part 451).

B. Incentive Awards (5 U.S.C., Chapter 45).

C. Pay Rates and Systems (5 U.S.C., Chapter 53).

D. Performance Appraisal (5 U.S.C., Chapter 43).

3.5 What terms do you need to know to understand this chapter?

A. Approving official is an individual who has the authority to approve the award and spend the funds to pay the award.

B. Award is something bestowed or an action taken to recognize and reward an individual or team for achievement that contributes to meeting organizational goals or improving the efficiency, effectiveness, and economy of the Government or is otherwise in the public interest. Such awards include, but are not limited to, employee incentives that are based on predetermined criteria such as productivity standards, performance goals, measurement systems, award formulas, or payout schedules. (See 5 CFR 451.102, Definitions.)

C. Award program means the specific procedures and requirements an agency or a component of an agency establishes for granting awards under 5 U.S.C. 43 and 5 U.S.C. 45.

D. Basic pay is an employee’s annual salary, including locality pay or geographical adjustments. (See 5 CFR 451.104(g).) Understanding the term is relevant when applying an award that you calculate based on a percentage of basic pay. Basic pay, for awards purposes, is equivalent to the salary amount shown under Adjusted Basic Pay (box 12c or box 20c) on an employee’s Notification of Personnel Action, SF-50.

E. Nonmonetary awards are items (e.g., medals, pins, certificates) given for employee recognition or incentive. For example, nonmonetary items are given as part of the length of service and honor awards programs.

F. Non-rating-based awards are forms of recognition given either individually or as a member of a group that are based on:

(1) A suggestion, invention, productivity gain, superior accomplishment, or other personal effort that contributes to the efficiency, economy, or other improvement of Government operations or achieves a significant reduction in paperwork; or

(2) A special act or service in the public interest in connection with or related to official employment.

G. Rating-based awards are forms of recognition that must be based on an individual employee’s rating of record, which is the specific performance rating done at the end of the appraisal period. Rating of record includes the appraisal of the elements and standards and includes the assignment of a summary level per the appraisal system set up by the Department of the Interior (Department) and approved by the Office of Personnel Management (OPM). Supervisors may only give these awards based on the most recent rating of record, and the performance they are recognizing must have occurred during the 12-month period prior to recommendation. These are also called performance awards.

H. Recommending official is the supervisor or manager who initiates an award.

I. Reviewing official is the official designated responsibility to review an award prior to the recommending official seeking approval. The designation of a reviewing official is not required.

J. Special acts are accomplishments recognized by an award. Special acts include superior accomplishment of regularly assigned duties, exceptional achievement of project goals, noteworthy accomplishments over a sustained period, and specific contributions to the Service mission.

RESPONSIBILITIES

3.6 Who is responsible for the awards and recognition program? See Table 3-1. For information about which officials have the authority to approve which awards (including thresholds), see Table 3-2 in section 3.8.

Table 3-1: Responsibilities for the Awards and Recognition Program

AWARDS AND RECOGNITION

3.7 What are the general awards and recognition requirements?

A. Governmentwide regulations specify five types of awards that the Service may give to employees: monetary awards, time-off awards, honorary awards, informal recognition awards, and irregular pay increases (i.e., quality step increases). Irregular pay increases (i.e., quality step increases) are governed by Governmentwide pay regulations and give the Service the authority to approve quality step increases for performance recognition.

B. Individual awards fall into one of two categories¾rating-based or non-rating-based (see section 3.5F and G for definitions).

C. All award recommendations and decisions must be reasoned, fair, and based on legitimate, nondiscriminatory reasons.

D. The JAO Awards Program Coordinator must develop procedures for sending awards to Human Resources Operations in the JAO. Specific documentation processes may vary depending on the award type. Award forms must document award recommendation and approval decisions and follow Departmental requirements and Governmentwide internal control standards. Human Resources Specialists must file all award forms following OPM’s Guide to Personnel Recordkeeping and applicable Departmental guidance on employee performance records.

E. Employees do not have an entitlement to awards, performance or otherwise.

F. The Human Resources Operations team considers that awards have been approved when the recommending and approving official send the award action to them via mySupport.  

G All non-rating-based awards must be approved at a management level higher than the supervisor or manager who recommended the award. The exception to this policy is when a Directorate member is the recommending official.

H. Awards must be recommended by employees who are classified as supervisors or managers. Still, we encourage all employees to make staff aware of exceptional performance or special acts.

I. The effective date of awards may not precede the date(s) the recommending and approving officials signed the award recommendation.

J. The Service gives due weight under merit promotion procedures to awards granted under this chapter (see 5 U.S.C. 3362).

K. All award decisions must be prompt. The following general guidelines apply:

(1) Non-rating-based monetary or time-off award decisions should be made within 30 calendar days of the act, achievement, or service.

(2) Non-rating-based honor award nomination decisions should be made 6 months in advance of retirement or other separation from the Service or within 6 months after the date of the contribution.

(3) Rating-based award decisions should be made within 45 days following the end of the appraisal period and completion of the employee performance appraisal plan.

3.8 What are the award approval limits?

A. All non-rating-based monetary awards or rating-based monetary awards based on a specific dollar amount (not a percentage of pay) over $5,000 per individual must be submitted to the Assistant Secretary for Fish and Wildlife and Parks for approval.

B. OPM must approve monetary awards from $10,001 to $25,000.

C. Only the President may approve awards exceeding $25,000.

D. Departmental Personnel Bulletin (PB) No: 19-13, Changes to Departmental Manual Chapter 370 DM 451.2, Performance Awards (section 5A), limits cash rating-based awards (performance awards) to 5 percent of basic pay. The value of rating-based monetary awards can be decided through use of a specific dollar amount or a percentage of the employee's pay. When the value determinations are based on a specific dollar amount, the approval authority is set based on the award amount. The specific dollar amount method is used for budgetary control. The 5 percent of basic pay limit applies regardless of the method used. 

(1) Limits are established for each performance level:

(a) Outstanding (Level 5): Eligible for a cash award of up to 5 percent of basic pay.

(b) Exceeds Expectations (Level 4): Eligible for a cash award of up to 3 percent of basic pay.

(c) Fully Successful (Level 3): Eligible for a cash award of up to 1 percent of basic pay.

(2) If an employee receives more than one type of performance award, the approving official must calculate the aggregate value of the awards and apply the applicable limit. We calculate the dollar value of:

     (a) A quality step increase by reviewing the change in basic pay, and

     (b) A time-off award by converting the employee’s basic pay to an hourly rate (basic pay divided by 2087).

E. There are limitations on the number of hours that may be given for time-off awards:

(1) An employee may receive no more than 80 hours in time-off awards per leave year (see 5 CFR 630.201 “Leave year”) and no more than 40 hours per award. There is no limit on the number of hours an employee can carry from year to year.

(2) For part-time employees, the supervisor must prorate the time-off award limitations using the following formula:

     (a) The employee may receive no more than one-half the number of hours of work in the employee’s biweekly scheduled tour of duty for a single award, and

     (b) The employee may receive no more than the average number of hours of work in their biweekly scheduled tour of duty for the year.

F. The maximum value for a nonmonetary award is $250.

G. The limitations in the subsections above are not applicable to Presidential appointees, Senior Executive Service (SES) members, and Senior Level and Scientific or Professional (SL/ST) employees. Limitations for awards for those positions can be found by contacting the Department’s Office of Executive Resources. 5 U.S.C. 4508 prohibits giving awards during a Presidential election period (June 1 through January 20) to non-career SES employees and employees in confidential or policy-determining Schedule C positions.

H. All monetary awards are subject to the aggregate annual pay cap which establishes that compensation may not exceed Level I of the Executive Schedule in a calendar year. It includes basic pay, locality pay, premium pay, various awards, differentials, and allowances.

Table 3-2: Award Approval and Limits Summary Chart

3.9 What are the monetary award requirements?

A. Monetary awards are paid as cash and can be rating-based or non-rating-based.

B. Award amounts are limited as specified in section 3.8 of this policy.

3.10 What are the time-off award requirements?

A. Time-off awards equate to paid time off an employee can take without charge to their leave balance, and they can be rating-based or non-rating-based.

B. Once approved and processed, employees follow leave approval procedures to request time off using their awards.

C. The time-off hours an employee earns through such awards do not expire and do not pay out upon separation.

D. Approving officials must adhere to the limits in section 3.8.

3.11 What are the non-rating-based award requirements?

A. Non-rating-based awards can be monetary awards, time-off awards, honor awards, or informal recognition awards with limits established in Governmentwide regulations and Departmental and Service policies (see section 3.8).

B. The Department has established many non-rating-based award programs that we use:

(1) Special Thanks for Achieving Results (STAR) awards recognize noteworthy accomplishments that are limited to a one-time occurrence or for exceptional accomplishments over a period of months.

(2) Productivity improvement awards recognize process improvements, cost-saving suggestions, streamlining, or the elimination of processes that do not add any value.

(3) Invention/patent awards reward employees for their inventions.

(4) Referral bonus awards reward employees who bring new, different talent into the Service. (These are used in connection with hard-to-fill positions.)

(5) Historic preservation awards recognize work in the area of historic preservation.

(6) Honor awards publicly recognize employees and Service partners. Honor awards include the Distinguished Service Award, Meritorious Service Award, and the Superior Service Award.

3.12 What are the rating-based award requirements?

A. Rating-based awards (also called performance awards) can be monetary awards, time-off awards, or quality step increases with limits established in Governmentwide regulations and Departmental and Service policies (see section 3.8).

B. Rating-based awards are based on complete and valid Employee Performance Appraisal Plans (EPAP), which must be submitted to or on file with the JAO Division of Human Resources Operations.

C. The summary rating on the current rating of record must be at least “Fully Successful” to qualify for a rating-based award.

D. The approving official may use their discretion to establish award amounts for rating-based awards as a lump sum dollar amount or as a percentage of basic pay. For those based on percentages, the approving official must convert the percentage into a whole dollar amount prior to sending the award to the JAO for processing.

E. Directorate members and supervisors must not establish any policy that directly links award amounts to specific ratings or makes the granting of a performance award mandatory.

F. The approving official may consider employee input when deciding the type of award.

G. Quality step increases are increases in basic pay from one step of a General Schedule pay plan to the next. Approving officials must only use quality step increases when they are the proper incentive (see 5 CFR 531.503, Purpose of Quality Step Increases).

(1) To be eligible for a quality step increase, employees must:

     (a) Be below step 10 of their grade level,

     (b) Not have received a quality step increase within the preceding 52 consecutive calendar weeks,

     (c) Occupy a permanent position, and

     (d) Receive one of the following:

     (i) A summary rating of record of “Outstanding” under an appraisal program that includes a Level 5 summary rating level, or

     (ii) The highest summary rating available under their appraisal program, and have demonstrated sustained performance of outstanding quality. If applicable, the approving official must certify on the awards submission that the employee has demonstrated sustained performance of outstanding quality.

(2) Besides the basic criteria above, the approving officials must consider whether:

     (a) The employee's outstanding performance is expected to continue for 60 days following the date the quality step increase becomes effective;

     (b) A monetary or time-off award would be a more appropriate and effective incentive. The approving official should not grant a quality step increase if they are giving the employee a cash or time-off award for the same performance or time period. However, if either award alone is not sufficient recognition for the level of performance, the approving official may use a combination of awards; and

     (c) The employee has been promoted in the past 6 months or is expected to be promoted during the next 6 months. A quality step increase is not proper for employees who have or are about to receive a promotion that recognizes the same performance.

(3) Approving officials must not delay the processing of a quality step increase for an employee who does not meet the 52-week requirement (see subsection 3.12G(1)(b)). A quality step increase must be processed promptly after it is approved as required by this chapter and OPM guidance.

     (a) In rare circumstances, such as a temporary promotion, it may not be possible to process a quality step increase by December 31.

     (b) In these cases, the approving official may choose to retract the award and give a different performance award or request approval for delayed processing from the Human Capital Chief in Headquarters (see guidance in Departmental PB 19-13, Changes to 370 DM 451.2, Performance Awards). Even with a delay, all quality step increases must be processed by September 30 of the following year.

(4) Quality step increases are typically not appropriate for those serving in a temporary position except in rare cases of an extended long-term temporary assignment (i.e., assignments lasting 2 to 5 years). A quality step increase must be applied to the rate of pay for the position on which the rating of record was based. If the rating of record was based on an employee's performance in a temporary promotion, the quality step increase must also be applied to the rate of pay for the temporary position.

3.13 What are the nonmonetary and honor award requirements?

A. Nonmonetary recognition awards are opportunities to publicly honor Federal employees or, in some circumstances, non-Federal partners. Items selected for nonmonetary recognition are generally of nominal value and must be appropriate for the public sector as they are bought with public funds. There are many methods and forms of nonmonetary recognition (e.g., a Departmental recognition honor award, a length of service award, a retirement plaque). Any time we give a nonmonetary award, the item must:

(1) Be something that the recipient will value as a symbol of an accomplishment, but not something that serves as an asset or that conveys a sense of monetary value, and

(2) Have lasting trophy value (e.g., an item an employee can show to coworkers, family, and friends as a symbol of our appreciation for good work).

B. Recommending and approving officials must not use gift cards or other items that can be easily converted to cash (e.g., gift certificates, U.S. Savings Bonds, tickets to events) as nonmonetary awards.

C. Recommending officials must determine if a nonmonetary award must be reported as a taxable benefit by identifying the item’s fair market value. The fair market value of the item is not the cost of the item to the Service. Recommending officials must document the decision. See Departmental policy PB 19-16 Changes to Departmental Manual Chapter 370 DM 451.5, Non-Monetary Awards for assistance with this determination.)

(1) When the fair market is more than $100 dollars, the recommending official must complete form DI-451, Recommendation and Approval of Awards, and route the form through the JAO, via mySupport, for the Director’s review and approval.

(2) The $100 dollar limit is established by Departmental policy.

D. The Service gives length of service awards to recognize an employee’s civilian and honorable military service. We award them to employees who have completed 10, 20, 30, 40, and 50 years of Government service. JAO Human Resources Operations staff keep a listing of employees eligible for length of service award recognition and handle preparing the proper recognition, including notifying supervisors of the status.

E. Honor awards are nonmonetary awards the Service gives as part of an established award program set up by the President, the Secretary, or the Director.

(1) Honor awards have specific nomination and approval procedures.

(2) Directorate members may request that the Director set up a specific honor award to allow recognition of the contributions of employees. The sponsoring Directorate member administers any honor award programs that they establish.

(3) The Department has established Departmental honor awards, the procedures for which are found in 370 DM 451.3, Honor Awards. Employees nominate others for such awards following the procedures in the DM chapter. Nominating officials initiate these nominations by sending them to the JAO Awards Program Coordinator, who will coordinate with the nominating employee to develop a surname package for the Director’s and Secretary’s approval.

F. Informal recognition awards are nonmonetary awards that recognize contributions and are not covered by existing honor award programs. Informal recognition awards typically have more informal approval procedures and presentation settings than honor awards. Informal recognition awards must conform to policies and procedures governing nonmonetary awards.