NOAA INCENTIVE AWARDS PROGRAM

SECTION 1. PURPOSE/BACKGROUND. [Top of Page]

.02 The awards program provides a way to recognize employees' significant achievements and ideas that benefit the NOAA, the Department of Commerce (DOC), and the Federal government. As a management tool, it provides a visible and effective way to communicate and reinforce those objectives most important to organizational success. By encouraging goals related to growth, creativity, and innovation, awards can maintain and reinforce the importance of productivity and customer service.

.03 To be effective, the awards program must:

a. encourage employees toward increased productivity and creativity, and support and enhance achievement of strategic and operating plan goals;

b. be non-discriminatory in application and effect;

c. use incentives for their intended purposes, not as substitutes for other personnel actions or pay;

d. be regarded by managers and supervisors as an important motivational tool; and

e. ensure that offices allocate adequate budget and support services to provide for prompt action and effective publicity.

.04 This NOAA Administrative Order (NAO) supersedes NAO 202-451, NOAA Incentive Awards Program, dated April 6, 1989. It shall be used in conjunction with the DEMO Operating Procedures and the Departmental Administrative Order (DAO) 202-451, Incentive Awards Program, dated August 14, 1990, and supplements policy and procedures in that Order. This is not a restatement of the DOC policy, but an extension of coverage to those delegations made to the NOAA and redelegated by the Under Secretary for Oceans and Atmosphere to management officials. The DEMO Operating Procedures take precedence over this NAO should there be any conflicting guidance in the two documents.

SECTION 2. REFERENCES. [Top of Page]

SECTION 3. IMPLEMENTATION PLANS. [Top of Page]

a. be in writing;

b. be made available to all employees, including updates as necessary;

c. grant recognition based on the high-level performance of employees or on the value of their contributions to the Federal government;

d. be non-discriminatory in application and effect;

e. describe the cash award pools (e.g., 1.5 percent of salary and budget costs), and their distribution within the organization;

f. provide for an adequate budget to support prompt action on award recommendations and appropriate publicity of award activities, prepare certificates, letters of congratulations, order plaques, and arrange appropriate ceremonies;

g. identify the awards used by the organization, the delegations of authority for approval of each award, and the method of presenting each award to the recipients; and

h. describe any organization-specific awards.

.02 For offices which include bargaining unit employees, partnership with the union(s) is encouraged in the development of all awards plans. At a minimum, individuals must ensure their labor relations obligations are met prior to implementation of their plans. Offices shall contact their servicing Human Resources/Labor Relations Specialists for guidance. See Appendix A for a sample implementation plan.

SECTION 4. MONETARY AWARDS. [Top of Page]

a. Awards are made as one-time, lump sum payments.

b. Award pool amounts should be established as close to the beginning of each fiscal year as practicable.

c. All NOAA employees, except employees in the Senior Executive Service, are eligible for awards covered by this section. Any employee, or group of employees, whose performance warrants recognition, may be considered for an appropriate award. To be eligible to receive awards, employees must have current ratings of "Meets or Exceeds," or "Eligible."

NOTE: Award amounts may be prorated for employees who: 1) work part time; 2) have been in the position less than 1 year; 3) have had extended periods of absence. This decision will be made by the individual LO/SO/PO.

d. Assistant Administrators (AAs) and NOAA SO/PO Directors may approve cash awards of $5,000 or less for general workforce employees and NOAA Corps Officers. This authority may be further delegated as determined by the individual LO/SO/PO.

e. Cash awards exceeding $5,000 and up to $10,000 are submitted through the Director for Human Resources Management, NOAA, and the Under Secretary for Oceans and Atmosphere before being forwarded to the Director for Human Resources Management, DOC, for approval by the Secretary. Awards in excess of $10,000 require approval by the Office of Personnel Management.

f. A copy of the completed and approved CD-326s and accompanying narratives will be forwarded to the servicing human resources offices (SHROs), where they will be input into the personnel/payroll system. SHROs will notify the supervisors of the effective dates. The employees will receive SF-50s documenting the awards.

02. TYPES OF AWARDS.

a. SPECIAL ACT OR SERVICE AWARD. This award may be granted to an employee, or group of employees, to recognize accomplishments in the public interest related to official duties, suggestions, inventions, or personal efforts which contribute to the efficiency, economy, or improvements in Government operations.

1. The award may be for specific achievement(s) or a period of exceptional productivity at any time during the performance year, for accomplishments that may or may not be covered in the individual's performance plan. Examples of such achievements would be:

(a) completing an absent co-worker's major assignment with exceptional skill and success so that organizational goals are met;

(b) identifying an innovative solution to an issue outside an employee's planned work assignment but which benefits the organization as a whole;

(c) saving significant money for the organization or government as a whole;

(d) using new technologies or methods to greatly improve an organization's (or a government-wide) product or service;

(e) streamlining a process which helps the organization provide its products and services, or meet its goals, more effectively;

(f) directing a team effort with exceptional skill and sensitivity;

(g) handling an unforeseen problem with minimal disruption to the overall work assignment; or

(h) maintaining exceptional productivity during a period of time.

2. The achievement is characterized by a defined effort as opposed to sustained high performance throughout an entire appraisal cycle. As such, the award should be given as close to the accomplishment as possible. [NOTE: Recognition for accomplishments covered by a DEMO employee performance plan is made at the end of the performance cycle with a performance bonus.]

3. The employee's expected future level of performance is not a major consideration.

4. A written justification must be prepared by the recommending official and accompany the CD-326 award nomination. The justification need not be extensive, but adequate documentation might include:

(a) what is significant about the achievement;

(b) the scope and extent of the achievement, and the amount of savings, if any;

(c) clear indication of how the achievement exceeds normal performance expectations;

(d) impact of the achievement on work, goals, and/or mission of the organization;

(e) magnitude of the achievement in relation to the employee's job responsibility (degree of ingenuity reflected); or

(f) period of time covered by the award.

5. The award justification should make it readily clear to the reader that the award is warranted. Because of the flexibility with this award, it is recommended that each LO/SO/PO establish a range of award amounts associated with contributions and achievements for their respective organizations. Appendices B and C may be used, as is, to determine award amounts or as a guideline for developing such a scale.

b. QSI. The QSI is the only performance award tied to the appraisal period. The supervisor must write a justification providing specific examples of the employee's exceptional performance. This justification must be documented in the appraisal of record. It is possible for an employee to receive other awards (e.g. special act, cash-in-your-account, time-off awards) during the same rating cycle as a QSI; however, the justification must indicate that the basis for the QSI goes well beyond that indicated for the other awards received during the appraisal period.

1. NOAA Corps Officers and employees who are part of the Demonstration Project are not eligible for this award.

2. A QSI may be granted in addition to a regular within-grade increase if the following eligibility requirements are met. The employee:

(a) has held the same grade and type of position, and not been detailed or temporarily promoted (unless to the same type of position), and has been in a pay status for at least 6 months before the end of the appraisal cycle;

(b) does not have a promotion in progress or anticipated within 60 days after the effective date of the increase.

(c) is not at the top step of his/her grade; and

(d) has not received a QSI within 52 consecutive calendar weeks preceding the effective date of the increase.*

*MULTIPLE QSIs: The granting of multiple QSIs should occur only in rare circumstances. To be eligible for another QSI the following year, the employee must have demonstrated current performance at a significantly higher level than that of the previous year. The documentation must be sent
to the appropriate AA or equivalent - or to a management official to whom this authority has been delegated - for review and approval.

3. The QSI rewards performance that consistently exceeds the performance indicators for quality products, teamwork, and/or customer service to such a degree that there is rarely room for improvement. The impact of the employee's work must be of such significance that:

(a) organizational objectives were accomplished that otherwise would not have been;

(b) accuracy and thoroughness of the employee's work are exceptionally reliable;

(c) application of technical knowledge and skills goes beyond that expected for the position;

(d) employee significantly improves the work processes for which he/she is responsible;

(e) work is planned so that it follows the most logical sequence;

(f) contingency plans have been developed to handle potential problems, new priorities and changes in procedures and programs are quickly adapted;

(g) strengths in planning and adaptability result in early or timely completion of work under all but the most extraordinary circumstances, resulting in cost savings to the government;

(h) interpersonal relationships are handled with exceptional skill, anticipating and avoiding potential causes of conflict and actively promoting cooperation and teamwork with clients, coworkers, and supervisors; and

(i) oral and written expression are exceptionally clear and effective. Complicated or controversial subjects are presented or explained effectively to a variety of audiences so that desired outcomes are achieved.

c. CASH-IN-A-FLASH/CASH-IN-YOUR-ACCOUNT (CIYA). This award provides supervisors the opportunity to give employees more immediate recognition for a job well done. Unlike other monetary awards which are paid at biweekly intervals to coincide with regular paydays, CIYA awards may be paid at any time. This program provides a means of giving employees recognition for non-recurring contributions, with a minimum of documentation. CIYA is NOAA's variation of the Department's Cash-In-A-Flash program. See Appendix D for procedures.

(1) NOAA Corps Officers are not eligible for this award.

(2) CIYA awards are appropriate in instances where higher-level monetary or honor awards would not be warranted. Following are some examples of the kind of efforts that would qualify:

(a) completing a short-term project or significant milestone in less time than expected or when unusual difficulties had to be overcome;

(b) developing new or revised procedures or other contributions toward improving office productivity;

(c) handling an unusually heavy workload, e.g., because co-workers are absent;

(d) completing a significant special assignment that is outside normal job responsibilities; and

(e) planning a special event that is particularly successful.

(3) This program is not meant to replace other methods of recognition, only to increase the supervisor's options for rewarding and reinforcing employee excellence.

(4) An employee may receive awards in net amounts of $50, $100, $150, $200, $250, $300, $350, $400, $450, or $500. An employee, as an individual or part of a group, may not exceed a net total of $500 in a single calendar year under this program. There is no limitation on the number of awards granted to an employee as long as the dollar amount does not exceed the $500 limitation. [NOTE: Unlike other monetary award amounts, CIYA amounts are reflected as net payments rather than a gross dollar value before taxes are withheld.] IN ORDER TO AVOID TAX LIABILITY COMPLICATIONS, CIYA AWARDS WILL NOT BE PROCESSED DURING THE LAST TWO PAY PERIODS OF THE CALENDAR YEAR.

d. ADMINISTRATOR'S AWARD. The Administrator's Award is given annually in recognition of employees or groups who have made significant contributions to NOAA programs.

(1) A request for nominations will be issued each year by the Director for HRM, NOAA. Managers should consider potential nominees during the course of the year. Each nomination must describe clearly, in nontechnical language, the contribution to be recognized, its impact on the operating unit, and the degree to which the contribution exceeds normal job responsibilities.

(2) The award nomination must be submitted in narrative form, not to exceed two pages, to LO/SO/PO representatives (who will be identified in the request memo), complying with any additional instructions and deadlines required by the respective offices.

(3) Senior Executives may not receive the monetary portion of this award, but may receive honorary recognition through the Administrator's Award.

(4) There is no limit on the total number of Administrator's Awards given in a calendar year. The award consists of a plaque and a $5,000 stipend. In the case of group awards, the $5,000 is split equally among the members. All awards are funded by the appropriate LO/SO/PO.

(5) Areas in which significant contributions to NOAA programs will be considered for Administrator's Awards include: Equal Employment Opportunity (EEO), Diversity, scientific research, public service, engineering development, environmental conservation, policy development, administrative support, public affairs, and information systems.

(6) In evaluating nominations submitted for the Administrator's Awards, the following factors shall be considered:

(a) the importance of the nominee's personal contribution to NOAA programs and the extent or degree to which it served an urgent need;

(b) the uniqueness and originality of the nominee's contribution;

(c) whether the contribution brought unusual credit to NOAA and the DOC;

(d) whether the nominee's contribution resulted in an unusually important and clearly demonstrated improvement in a NOAA program;

(e) if a nominee is a supervisor, whether his or her specific contribution demonstrates significant leadership skills such as the ability to lead and guide a competent staff, develop staff talents, and successfully run a productive program;

(f) exceptional leadership, skill, ingenuity, or ability displayed in administration or performance of duties which accomplished significant savings in money, time, staff resources, or equipment;

(g) creation or development of a major improvement in a service which results in a high degree of benefit to NOAA or the DOC;

(h) successful implementation of new or improved policies in NOAA;

(i) exceptional skill and ingenuity in focusing on policy needs;

(j) contributions in engineering development in the areas of applied technology systems or equipment developed; and

(k) important scientific research contributions.

e. NOAA TECHNOLOGY TRANSFER AWARD. The purpose of this award is to recognize NOAA scientific, engineering, and technical employees for: (1) inventions or other outstanding scientific or technological contributions of value to the United States due to commercial applications and (2) exemplary activities that promote the domestic transfer of science and technology developed within NOAA and result in the use of such science and technology by American industry or business, universities, State or local government, or other non-Federal parties.

This award responds to the requirement of Section 13 of the Federal Technology Transfer Act of 1986 (P.L. 99-502). For further details see Appendix E.

f. SUGGESTION AWARD. A suggestion award is granted for an idea that contributes directly to the economy, efficiency, or effectiveness of operations. The award amount is based on the benefits realized as a result of the implementation of the idea.

1. Policy. To warrant consideration for an award, a suggestion:

(a) must be processed under the employee suggestion program, except when an idea is implemented outside the suggestion program, but is deemed worthy of recognition by an award as allowed by DAO 202-454, Suggestion Program, dated August 14, 1990);

(b) must be adopted by an official with authority to adopt it; and

(c) must provide tangible benefits to the government with a value of at least $250 or comparable intangible benefits, or a combination of tangible or intangible benefits, in order to receive a monetary award.

2. Responsibility.

(a) The employee must submit suggestions on Form CD-170 to:

1) the LO/SO/PO Incentive Award Program Officer (IAPO) if the suggestion pertains to programs or operations contained entirely within the employee's primary organization, e.g., NWS, NOS, etc.; or 2) to the NOAA (IAPO), OFA 41, SSMC-4, if the suggestion concerns matters outside the employee's primary organization. The employee proposing the suggestion must:

(1) describe the specific problem or objective, present a solution or plan for improvement, and show benefit to the government;

(2) include sufficient information to clarify the proposal (sketches, photos, stock, numbers, etc.);

(3) sign the form to signify agreement that the U.S. Government may use the suggestion without incurring any further claim by the suggester or heirs; and

(4) indicate if more than one person is involved in submitting the suggestion.

(b) The supervisor should encourage the employee's participation in the Suggestion Program and assist, if requested, in developing the proposal. See DAO 202-454 for a complete description of the program.

(c) The primary organization or NOAA IAPO will acknowledge receipt of all suggestions within 15 workdays, and must:

(1) process all suggestions received as stated in DAO 202-454 Section 5;

(2) refer the suggestion to an evaluator in the organization having primary responsibility for operation, procedures, system, or program that is the subject of the suggestion;

(3) track all suggestions and maintain appropriate records; and

(4) arrange for payment of any approved award.

(5) The suggestion evaluator will give proper consideration to all suggestions; recommend whether or not it should be adopted; recommend the form of award the suggester should receive if the award shall be adopted; complete Form CD-170, "Official Suggestion Evaluation," within 30 work days and return it to the originating awards program officer.

3. Award Amounts.

(a) The signed and dated CD-170 must show the amount of the cash award, and will serve as the documentation for the award.

(b) In calculating the benefits of an adopted suggestion to the government, the evaluator should estimate the net benefits (i.e., the total savings minus any implementation costs).

(c) Cash awards for adopted suggestions are normally based on the estimated first-year benefits to the Government. If savings extend over more than 1 year, the award may be based on the average annual savings for a longer period, not exceeding 5 years.

4. Process.

(a) Award recommendations are forwarded through organizational channels to the approving official.

(b) Awards in excess of $5,000 for adopted suggestions must be submitted to and approved by the DOC Incentive Awards Board.

(c) If a suggestion is not recommended for adoption by the evaluator, the employee proposing the suggestion may request a reconsideration from the DOC Incentive Awards Officer.

5. Entitlement Period.

(a) The suggestion award entitlement period is the two-year period following the date of final action on a suggestion during which the suggester retains the right to be considered:

(1) for an additional award if additional benefits result after adoption, or;

(2) for an award if a non-adopted suggestion is implemented within the 2-year period.

g. INVENTION AWARDS. An invention award is cash or honorary recognition granted to a Federal employee for an invention which is of interest to the U.S. Government or the public and for which protection by patenting or publication is sought.

1. Amount/Timing.

(a) An invention award of at least $300 is granted when an employee's invention has been favorably searched and a patent application has been filed. In the case of joint inventors, each inventor is nominated for an equal share of the initial award except that the share to each inventor must be no less than $100.

(b) Further awards, up to $35,000, may be granted for an invention owned by the U.S. Government whenever the invention benefits the public as evidenced by the number of patent licenses granted, reports on commercialization from patent licenses, and other information pertaining to the commercial use of the invention; or the invention is used by and benefits the government.

(c) Employees are eligible to receive a cash award in any year that royalty-bearing licenses covering their inventions are in effect. (See DAO 202-452, "Incentive Awards for Federal Inventors," dated June 3, 1977.)

2. Process.

(a) After receiving notification of a filed patent application, the Office of General Counsel informs the inventor's organization and recommends that Form CD-326, "Recommendation for Award," be prepared, and also advises the NOAA IAPO.

(b) The awarding official approves the recommendation. The IAPO forwards the award proposal to the payroll office for payment if it conforms with requirements.

(c) Invention awards to SES members must be approved by the Secretary through the same channels as performance bonuses.

SECTION 5. NON-MONETARY AND HONORARY AWARDS. [Top of Page]

a. Non-monetary awards are medals, certificates, plaques, citations, badges, or other award items that can be worn or displayed and have an award or honor connotation.

b. These awards are used to recognize distinguished achievements or significant contributions that benefit the government.

c. To be eligible to receive an award, an employee must have a current rating of "Meets or Exceeds" or "Eligible."

.02 TYPES OF AWARDS.

a. BRONZE MEDAL. The Bronze Medal Award is the highest honorary award given by a head of an operating unit or Secretarial Officer or equivalent. A Bronze Medal is defined as superior performance characterized by outstanding or significant contributions which have increased the efficiency and effectiveness of the operating unit. To warrant a Bronze Medal, a contribution must focus on qualitative and quantitative performance measures cited in the Department's Strategic Plan and be identified in one of the following areas: leadership, personal and professional excellence, scientific/engineering achievement, employee development, customer service, administrative/technical support, or public service or heroism. The award may be given to individuals, groups, or organizations. A Gold or Silver Medal nomination disapproved at the Department level will automatically receive a Bronze Medal Award that same year.

1. Recipient Categories.

(a) Individual - each individual receives a framed, engraved medal and certificate, and a lapel pin.

(b) Group - a group consists of a number of individuals working together, where each person makes a specific substantive contribution to the achievement being recognized. Each group member receives a framed, engraved medal and certificate, and a lapel pin.

(c) Organization - an organization may be either an office, division, or subunit which is formally recognized as a separate entity, or an ad hoc organization assembled to work on a specific project. A single organization is one office, division, or subunit where all or most of the people work together on a specific project. The single organization receives an engraved medal and a framed certificate. A joint organizational award consists of two or more offices or subunits working together to complete a specific project. Each organization receives a framed, engraved medal with a certificate.

2. Submission Requirements.

(a) All employees may submit nominations.

(b) Justifications for individuals may be up to two pages.

For groups, one page for the group effort and up to one page detailing each individual's contribution may be submitted. A group nomination having more than 10 members must be accompanied by a one page justification which explains the higher number. Nominations for organizations may be up to two pages and should include the name of the individual who will accept the award on behalf of the organization.

(c) Nominations should clearly describe the contribution to be recognized, its impact on NOAA or the Department, and the extent to which the contribution exceeds normal performance expectations. It should also specify how the contribution meets one or more of the criteria listed below.

(d) All nominations must comply with directions and submission requirements specific to individual organizations.

3. Criteria. Contributions must meet one or more of the following criteria:

(a) leadership - recognizes personal leadership and management of an organization that produces substantial, innovative achievements, resulting in high-quality service to the agency;

(b) personal and professional excellence - recognizes those who demonstrate an outstanding level of accomplishment in furthering the agency's mission;

(c) scientific/engineering achievement - recognizes scientific/engineering or technological breakthroughs that resolve longstanding problems; radically advance state-of-the-art, significantly impact DOC or the economy, or significantly advance the understanding, knowledge, or mastery of a given discipline;

(d) employee development - recognizes those whose accomplishments contribute to creating an organizational culture that is constantly learning and growing; one which maximizes employee potential and fosters high ethical standards;

(e) customer service - recognizes those who provide or foster a culture which nurtures world-class customer service;

(f) administrative/technical support - recognizes those who demonstrate an outstanding level of accomplishment in providing administrative and technical support; and

(g) public service or heroism - recognizes quality service demonstrated by substantial improvement in productivity or services, an increase in the quality of life of Americans, or more cost-effective agency programs or services.

b. TIME-OFF AWARD. This award may be given to eligible employees to recognize achievements and/or contributions. It is an excused absence granted without charge to leave or loss of pay, and it is independent of other types of awards. It should be given when it is more appropriate than monetary or honorary awards.

1. Eligibility.

All NOAA employees are eligible for this award except:

1) Officers appointed by the President by and with the advice and consent of the Senate, or by the President alone, to positions for which rates of basic compensation may exceed the maximum rate provided in the General Schedule; 2) employees who do not have a regular, established tour of duty prescribed in advance (i.e., employees who are intermittent); 3) employees paid on a fee basis; 4) NOAA Corps Officers; and 5) employees in the Senior Executive Service.

2. Policy.

(a) The total amount of time off granted to a full-time employee as an incentive award for a single contribution is up to 40 hours, and may not exceed 80 hours, during a leave year. Total time off for a part-time employee or an employee with an uncommon tour of duty may not exceed the average number of hours of work in the employee's biweekly scheduled tour of duty.

(b) The minimum time-off award is a half day (half of the scheduled work hours for the employee on the day of the excused absence). If the employee's work day is not an even number of hours, the half day must be rounded up so that the amount of leave granted is in multiples of one-hour units.

(c) Time off granted as an incentive award must be scheduled and taken within 1 year after the effective date of the award. Scheduling time off is subject to supervisory approval.

(d) The amount of time off should be proportionate to the value of the contribution being recognized.

(e) If an employee is incapacitated for duty during a period of time-off absence, that period of absence may be recorded as sick leave, and the time off scheduled for another time within the limits of paragraph b.(1)(c).

3. Authority.

The authority to approve time-off awards is delegated to heads of LOs/SOs/POs. This authority may be redelegated in writing to any leave approving official. EXCEPTION: Per DAO 202-451, award periods in excess of one full duty day must be reviewed and approved by an official higher in the organization than the award initiator.

4. Processing.

The award must be recommended and approved in writing on Form CD-326, and the amount of time should be indicated. Item 8, "Narrative," must include a brief but specific description of the reason for the award. The CD-326 is signed by the recommending and approving official and forwarded to the SHRO. The SHRO will process the award and document it with an SF-50.

c. ON-THE-SPOT AWARDS. The purpose of this award is to provide supervisors with a means of recognizing employees with merchandise-type items, for those day-to-day efforts which contribute "in a special way" to getting the job done. This program provides for immediate recognition with minimal documentation for non-recurring contributions. This program is not meant to replace other methods of recognition, but rather to increase the supervisor's options for rewarding employees.

1. Eligibility.

NOAA Corps Officers and members of the Senior Executive Service are not eligible for this award.

2. Policy.

(a) LO/SO/POs may implement on-the-spot award programs which meet their specific needs and are compatible with their organizational climate. If utilized, this program must be described in the award implementation plan signed by the head of the LO/SO/PO, and the plan must be consistent with the NOAA On-The-Spot Award Program approved on August 12, 1993. Specifically, the plan must include:

(1) types of contributions which qualify for recognition;

(2) who is eligible to participate;

(3) delegations of authority;

(4) award items that will be given out under the program and dollar values;

(5) plans for procuring, distributing, and controlling access to supplies of these items;

(6) frequency and timing of awards;

(7) procedures for notifying employees and supervisors about the program; and

(8) record keeping requirements.

(b) The value of an individual merchandise award may not exceed $75, and should be at least $25. Under this program, an employee may not receive awards which exceed $125 in value in a single performance year. Supervisors are responsible for assuring compliance with this limitation.

(c) Good judgment should be exercised when awarding informal recognition items. A basic principle is that their primary value should be as a form of recognition that has a lasting memento value and not as an object with monetary value. Be particularly sensitive to public perceptions that could arise from granting expensive, non-monetary award items.

3. Authority.

The expenditure of funds for such items is authorized by the statutory language in 5 U.S.C. 4503, which permits agency heads to pay cash awards to and incur necessary expenses for the honorary recognition of employees. Suggested guidelines for the awards are listed below:

(a) the award should be honorary in nature;

(b) the award should be able to be worn, displayed, or used in the recipient's work environment;

(c) the award should include the DOC, NOAA, or/LO/SO/PO seal or logo;

(d) the award should be presented to the employee shortly after the contribution.

4. Processing.

The award should be documented with a brief and to-the-point narrative justification on form CD-326. Once the award has been approved, the supervisor should make the presentation to the employee in the presence of his/her peers.

d. UNIT CITATIONS. A Unit Citation recognizes groups of employees who, because of their individual and collective efforts, have made substantive contributions to NOAA's programs. There is no monetary reward associated with the Unit Citation. The award consists of a Unit Plaque and individual certificates for each participant.

1. Policy.

(a) Consideration for a Unit Citation is given, but not limited to, those contributions which:

(1) are outstanding enough to bring unusual credit and/or favorable attention to NOAA and DOC;

(2) result in greatly advancing or furthering NOAA programs;

(3) accomplish significant savings or improvements in NOAA's operating programs; or

(4) represent outstanding service to the public.

(b) Unit Citation nominations may be made at any time using Form CD-326.

2. Processing.

(a) The nomination will be submitted to the LO/SO/PO approving official for review and approval.

(b) After approval, the certificates and plaque will be obtained and prepared by the LO/SO/PO. Unit Citation certificates are signed by the Under Secretary for Oceans and Atmosphere. The LO/SO/PO will arrange for this signature and maintain a record of recipients.

e. RECOGNITION CERTIFICATES.

(1) Certificates of Appreciation. There are two types of Certificates of Appreciation:

(a) Certificates 11" x 14" in size (CD-522*) are granted to non-employees of NOAA who have made outstanding contributions or who have performed significant services for the agency. They may be signed by the Secretary, Secretarial Officer, or Under Secretary for Oceans and Atmosphere, and presented by an appropriate official, depending on the nature and significance of the contribution.

(b) Certificates 8½ x 11 (CD-521*) in size are granted to employees and student volunteers for honorary recognition, significant accomplishments, or appreciation of their services. They are signed and presented by the head of the LO/SO/PO, or other official if appropriate.

(2) Certificates of Recognition (CD-184*). These certificates are granted to employees who receive Special Act or Service, or QSI Awards. The CD-184s are obtained and prepared by the LO/SO/PO and presented to employees in an appropriate ceremony.

(3) Length-of-Service Certificates**. These certificates are granted to employees to recognize service of at least 10 years in 5-year increments. Note: Information pertaining to employee eligibility for length of service recognition is available through the Human Resources Data System. The certificates are obtained and prepared by the LO/SO/PO and presented to the employee by the supervisor or other higher-level official within the organization.

(4) Other Length-of-Service Recognition. Lapel pins, charms, and tie tacks are also available to recognize 5-year increments of employees' service. These tokens of appreciation for service performed are obtained by the LO/SO/POs and presented to employees along with the certificate.

* Certificates may be ordered from the DOC Forms Store - 202-482-4765.
** May be ordered from GSA.

SECTION 6. LO/SO/PO-SPECIFIC AWARDS. [Top of Page]

.02 Information on the approved awards must be made available to all employees, preferably through the LO/SO/PO incentive awards implementation plan. It must indicate the number of awards to be presented, what the award will be, e.g., money (to include amounts), plaque, certificate, merchandise, etc., and the manner in which the award will be presented.

.03 If the award is monetary, the LO/SO/PO must forward a copy of the completed, approved CD-326 to the SHRO for input into the personnel/payroll system. The SHRO will notify the supervisor of the effective date. The LO/SO/PO will prepare the certificate, plaque, etc., and make arrangements to present the award.

.04 Requests for approval of new awards must be forwarded to DOC for approval, through the NOAA IAPO, and must indicate:

a. length of service required;

b. category of employee to be considered (individuals or groups, supervisory or non-supervisory);

c. type of achievement to be considered;

d. when nominations will be requested;

e. who can nominate an employee;

f. format for nominations;

g. where to send nominations;

h. who will review the nominations;

i. when the decision will be made; and

j. when the award will be presented.

SECTION 7. ACCOUNTABILITY AND OVERSIGHT. [Top of Page]

.02 The effectiveness of the incentive awards program is assessed through NOAA's ongoing oversight program. Evaluations focus on: (1) the satisfaction of supervisors and employees with the program; (2) NOAA's technical compliance with the pertinent laws, Office of Personnel Management regulations, and DOC/NOAA policy;(3) the ability of NOAA's program to adequately acknowledge and reward significant achievements and ideas; (4) NOAA's adherence to the merit systems principles, particularly the requirement to distribute awards fairly without regard to race, national origin, sex, or other non-merit factors; and (5) the ability of the program to successfully encourage employees toward increased productivity and creativity and to support and enhance the achievement of strategic and operating plan goals. In addition, SHROs will review a sampling of processed awards to ensure compliance with the technical requirements (e.g., proper signatures, adequate justification, etc.) and provide written feedback to the originating office.

SECTION 8. TRAINING AND INFORMATION. [Top of Page]

SECTION 9. RECORD KEEPING. [Top of Page]

a. The original copy of the completed and approved award forms (e.g., CD-170, CD-326) must be retained in the Employee Performance File (EPF) for a minimum of 3 years. Monetary awards will be further documented with a SF-50B, Notice of Personnel Action, filed with the employee's Official Personnel Folder.

b. In addition, automated records may be retained for statistical analysis.

.02 When an employee transfers from one LO/SO/PO to another, the incentive awards records must be transferred. These records must be purged from the EPF, however, when an employee transfers from one operating unit to another with DOC or another Federal agency.

SECTION 10. EFFECT ON OTHER ISSUANCES. [Top of Page]

SIGNED,
Acting Chief Financial Officer/Chief Administrative Officer

Office of Primary Interest:
    Office of Finance and Administration
    Human Resources Management Office (OFA41)

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