M 3000.1C Part 1 - Ch 9: Awards and Employee Recognition
This order was canceled on June 25, 2010.
Order | ||
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Subject | ||
FHWA Personnel Management Manual; Part 1: Personnel Systems & Procedures, Chapter 9 Awards and Employee Recognition, Section 1 General | ||
Classification Code | Date | |
M3000.1C | February 10, 2006 |
Par.
- What is the purpose of this section?
- Does this directive cancel an existing Federal Highway Administration (FHWA) directive?
- What is the background concerning this section?
- What references were used in writing this section?
- What is an award?
- What is the objective of FHWA's Awards and Recognition Program?
- What types of awards can FHWA employees receive?
- What types of awards can non-FHWA employees and partners receive?
- How are SAAs funded?
- Who has approval authority for the various types of awards, and what are the monetary award amounts?
- What are the criteria for approval?
- What factors must be considered in making a decision on granting a QSI
- What factors must be considered in granting SAAs based on Special Acts or Services?
- What factors must be considered in granting SAAs based on performance?
- What factors must be considered when granting Time-Off Awards?
- What factors must be considered when granting On-the-Spot Awards?
- What factors must be considered when granting Honor Awards?
- What factors must be considered when developing Inventive Incentive Programs?
- What are the procedures for granting SAAs, Time-Off Awards, Team Achievement Awards, or QSIs?
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What is the purpose of this section? This section provides guidelines, standards, and procedures related to all awards in recognizing employee performance and special accomplishments, contributions, and efforts within the Federal Highway Administration (FHWA).
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Does this directive cancel an existing Federal Highway Administration (FHWA) directive? Yes. This directive cancels the FHWA Personnel Management Manual (PMM) Chapter 9, Sections 1 and 2, and attachments 1 through 3, dated June 28, 1996.
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What is the background concerning this section? This section reflects changes in Office of Personnel Management (OPM) regulations and the Department of Transportation (DOT) Orders that provide Federal agencies with new flexibilities in the award and recognition areas.
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What references were used in writing this section?
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Title 5, United States Code, Chapters 43, 45, 53 and 55.
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Title 5, Code of Federal Regulations, Parts 293, 430, 451 and 531.
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Departmental Personnel Manual Chapter 451, dated December 29, 2003.
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What is an award? An award is an action taken to recognize and reward individual or team achievement that contributes to meeting organizational goals or improving the efficiency, effectiveness, and economy of the Federal government or is otherwise in the public interest. Awards can be made in the form of cash, honor, or time-off without charge to leave or loss of pay. Awards can be given to an employee as an individual or as a member of a group.
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What is the objective of FHWA's Awards and Recognition Program? The FHWA recognizes that awards can be an effective tool to improve operations, increase productivity, achieve FHWA's quality goals and initiatives, and improve service to the public. There are many ways to acknowledge an employee's accomplishment or effort. A letter of appreciation or a verbal "thank you" given to an employee in the presence of peers are equally effective methods of recognizing employee efforts. Managers and supervisors are encouraged to recognize the contributions of their employees. Employees need to know that their special efforts and hard work are appreciated.
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What types of awards can FHWA employees receive? FHWA employees are eligible to receive a number of different types of awards. They include:
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Quality Step Increase (QSI) is a within grade salary increase granted to a General Schedule (GS) employee to provide appropriate incentive and recognition for excellence in performance resulting in an outstanding performance rating. QSIs are granted in addition to regular within grade salary increases.
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Special Achievement Award (SAA) for a Special Act or Service is a one-time award that can be granted to a GS or Wage Grade employee for a non-recurring contribution either within or outside of job responsibilities,a scientific achievement, or an act of heroism. This award can consist of cash and/or time-off from work. An On-the-Spot Award is a SAA for a Special Act that is meant to recognize a small individual accomplishment or contribution (see paragraph 15).
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SAA based on performance is a one-time award granted to a Performance Management System (PMS) employee who receives a rating of either "Outstanding" or "Meets or Exceeds Requirements," or for sustained superior achievements in accomplishing performance objectives of the position, as documented in the performance plan, for at least the minimum rating period of 90 days. This award can consist of cash and/or time-off from work.
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Time-Off Award is an absence granted to an employee without charge to leave in recognition of performance of duties in an exceptional manner, or a special act, service, or other personal effort that contributes to the quality, efficiency, or economy of FHWA's operations.
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Suggestion Award is an award granted in recognition of a formal suggestion or a proposed solution to a problem that will save money, manpower, materials, equipment, or supplies or that contributes directly to the productivity, economy, efficiency, and effectiveness of carrying out a program or mission of the Federal government. (See PMM Part 1, Chapter 9, Section 2 for more information about Suggestion Awards.)
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Honor Award is a non-monetary award granted in recognition of sustained high-level achievement or in recognition of continued Federal service.
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Inventive Incentive Award refers to honorary recognition that can be given by employees through their supervisors to other employees in the organization.
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Team Achievement Award is a SAA granted by the Office of the Administrator to a group of employees from various organizations within FHWA who have worked together to accomplish a project or task that is worthy of high-level recognition.
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What types of awards can non-FHWA employees and partners receive? Non-FHWA employees and partners are eligible to receive the Strive for Excellence Award (see Chart 2), the Partnership in Excellence Award (see Chart 2), and the Public Service Award (see Chart 4).
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How are SAAs funded?
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Funds for awards to be paid in a given fiscal year shall be computed for each organization based on the PMS employee population payroll in effect on September 30, which is the last day of the rating period (as well as the last day of the previous fiscal year).
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At a minimum, there will be individual award pools within the FHWA for the Office of the Administrator, each Associate Administrator, the Chief Counsel, Chief Financial Officer, each Director of Field Services, the Resource Center Director and Operations Manager, and each Division Administrator. Within these organizations, unit managers may assign the management of award pools, and they may officially define award pools at lower organizational levels.
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Each organization will report its official award pool designations to the Office of Human Resources on August 31 each year, so that performance award funds for the following fiscal year may be computed and pools may be documented as required. Performance awards funds computed for one organization will not be transferred to another.
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Each award pool will be funded at no more than 1.4 percent of the estimated amount of covered PMS employees' basic pay for the fiscal year. Each award pool may be funded at a percentage lower than 1.4 percent in order to meet any limitations established by the Office of the Secretary (OST) or the OPM for the funding of general pay increases, within-grade increases, and performance awards. Other funding limitations may be set by the DOT Appropriations Act. The same funding percentage will be applied to all pools within FHWA in a given fiscal year.
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Who has approval authority for the various types of awards, and what are the monetary award amounts?
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The OST (1) approves all monetary awards for Schedule C employees and employees in the Senior Executive Service (SES), (2) approves all award recommendations from $10,000 to $25,000, and (3) concurs in all awards from $25,000 to $35,000. Recommendations from $25,000 to $35,000 will be forwarded to OST for concurrence prior to forwarding to OPM for review and, if concurred in by OPM, they are submitted to the President for approval.
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The Office of the FHWA Administrator approves all Team Achievement Awards, individual awards in excess of $4,000, and Group/Team Awards in excess of $9,500, and recommends to the Secretary the approval of an award for an SES employee, a Schedule C employee, or an award for any employee that is in excess of $10,000.
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Award Pool Managers approve: (1) all group/team awards up to $9,500 and individual awards in excess of $4,000; (2) performance rating-based awards not to exceed 10 percent of the employee's annual rate of basic pay, upon the recommendation of the supervisor; and (3) all Time-Off Awards. These authorities may be re-delegated; however, the Pool Manager must ensure that appropriate financial controls are in place.
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First Level Supervisors can approve On-the-Spot Awards. The maximum monetary amount of a cash On-the-Spot Award is $300. These awards may be granted in increments of $50. An employee can receive no more than two cash On-the-Spot Awards in the same year. The maximum for a Time-Off On-the-Spot Award is the equivalent of one workday. On-the-Spot Awards may be a combination of time-off and cash. However, the combination must not have a prorated value that exceeds one workday or $300. (For example, an employee can receive an On-the-Spot Award consisting of one half-day of time-off and $150 in cash.)
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What are the criteria for approval?
Information concerning criteria for each of these awards is included in the following charts at the end of this chapter: -
What factors must be considered in making a decision on granting a QSI?
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The QSIs are meant to recognize outstanding performance at a faster pace than the usual within grade increases. Because QSIs are permanent increases to base pay and can be granted in addition to any Special Achievement Award that an employee receives, managers are reminded that the QSI justification must support the conclusion that the highest quality of work is characteristic of the employee's performance and is expected to last into the future.
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The recommendation to grant a QSI must be supported by the employee's most recent appraisal, or when the appraisal is more than 60 days old, by a supplemental written statement explaining the reasons for granting the increase.
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What factors must be considered in granting SAAs based on Special Acts or Services?
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A SAA for a special act should be based on tangible and/or intangible benefits FHWA realizes from the contribution and on whether the contribution is within or outside of the requirements of the position.
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Recommendations for SAAs for special acts may be submitted at any time. However, experience has shown that employees most appreciate the award when it is given shortly after the contribution has been made. Nominations should be submitted within 3 months after completion of the act.
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Employees can receive any number of SAAs, provided that each award is for a separate act or contribution.
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In determining if an employee's contribution is so superior or meritorious that it warrants special recognition with an award, a supervisor must consider:
(1) the importance of the contribution to the organization;
(2) the amount of independent thought, unusual insight, imagination, or effort involved;
(3) the impact or benefit derived from the contribution; and
(4) any other forms of compensation the employee may receive.
- Tangible Benefits. Every effort should be made to determine tangible benefits resulting from employee contributions. If the contributions with tangible benefits are not outside of job responsibilities, the award should be reduced. Tangible benefits can be calculated or estimated when contributions:
(1) conserve staffing resources, materials, time or space;
(2) eliminate unnecessary processes; or
(3) improve existing methods.
The following chart should be used as guidance in determining cash awards based on contributions with tangible benefits.
TANGIBLE BENEFITS GUIDANCE
Estimated First Year Benefits to the Government Amount of Award Up to $10,000 10% of estimated benefits $10,000 to $100,000 $1,000 for the first $10,000 plus 3% of estimated benefits over $10,000 $100,001 or more $3,700 for the first $100,000 plus .5% of estimated benefits over $100,000
- Intangible Benefits. When benefits cannot be measured, the award must be based on an assessment of the intangible benefits to the FHWA such as contributions:
(1) which improve the state-of-the-art in engineering or sciences; or
(2) which provide a service to the public.
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Awards based on contributions with intangible benefits will be comparable as much as possible with awards based on tangible benefits. When an award is based on a contribution with both tangible and intangible benefits, the amount of the award is based on the total value of the contribution to the Federal government. Normally, award amounts will be based on estimated first year benefits to the FHWA. However, where a phase-in period occurs, the average annual savings over a 3-year period may be used.
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What factors must be considered when granting SAAs based on performance?
- After the PMS employees in an award pool have been assigned a rating of record for the PMS appraisal period, a determination may be made as to their eligibility for a performance award. The following PMS employees will not be eligible for Performance Awards:
(1) employees receiving a rating of "Fails to Meet Requirements;"
(2) employees not occupying a PMS position on September 30, the end of the PMS rating period;
(3) employees on leave-without-pay (LWOP) or in a non-pay status during the rating year and who were not in a pay status for at least the minimum 90 day appraisal period;
(4) employees newly appointed to the Federal government within 90 days of the end of the appraisal period; and
(5) employees who for any other reason could not be rated under the PMS performance appraisal system.
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All eligible PMS employees receiving a current rating of record of either "Outstanding" or "Meets or Exceeds Requirements" may be granted a SAA based on performance. The supervisor and the pool manager will determine award amounts based upon individual performance. The determination will be based upon: (1) the supervisor's assessment of the value of the employee's work accomplishments during the rating year, relative to the goals of the organization; (2) the grade level of the position; (3) the impact on mission accomplishment; and (4) the relative contribution of other employees. There is no entitlement to a performance award regardless of the rating of record.
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A performance based SAA may be given immediately after the performance appraisal period or throughout the year as long as the employee has a rating of record in the system and 90 days of performance on which the award can be based.
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Performance awards granted during the year must be based on at least 3 months of performance.
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Under certain circumstances, pool managers may set aside a portion of the award budget for the unit to recognize team performance. This provision may be used when the unit is formally organized in teams, the work is structured in an interdependent fashion, and the team evaluation features of the performance appraisal system are used. The use of team performance awards is limited to units and employees who identify team performance objectives in their performance plans, and they are rated against the team rating factors on the appraisal form. The set-aside provision should be limited to that portion of the award pool computed from covered salaries of employees actually eligible for team performance awards. Within that subpool, the set-aside percentage should be determined, subject to the approval of the pool manager, based upon the relative importance and preponderance of team versus individual performance objectives.
(1) Any organization planning to use this team performance award provision should develop and coordinate with the Office of Human Resources (HAHR-10) a plan for approving and distributing Team Performance Awards. The plan should ideally be implemented and communicated to affected employees at the beginning of the rating period, but no later than 90 days prior to the end of the appraisal period.
(2) The use of this provision is optional, and it is not required under any circumstances, regardless of how the unit is organized or the work is structured.
- After the PMS employees in an award pool have been assigned a rating of record for the PMS appraisal period, a determination may be made as to their eligibility for a performance award. The following PMS employees will not be eligible for Performance Awards:
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What factors must be considered when granting Time-Off Awards?
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A Time-Off Award may be authorized for full-time employees in installments of up to 40 hours for a single award, with a maximum of 80 hours awarded in a given leave year. Awards for part-time employees may be granted on a pro-rata basis, with a single award of no more than the number of hours worked during an average work week, and an annual maximum that does not exceed the number of hours normally worked during a biweekly pay period. For example, an employee with a part-time work schedule of 32 hours a week may receive a single Time-Off Award maximum of 32 hours and a total of 64 hours in Time-Off Awards during a leave year.
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Time-Off and Special Achievement Awards may be combined to recognize an employee accomplishment, effort, or performance. For calculation purposes, $25 will equate to 1 hour of time-off from duty.
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Time-Off granted must be used within 1 year following the effective date of the award. Time-Off Awards do not convert to cash under any circumstances. Any Time-Off Award not used will be lost. When physical incapacitation for duty occurs during the Time-Off Award period, sick leave may be substituted for the period of incapacitation and the award time rescheduled.
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Managers are reminded to carefully consider the employee's circumstances when making a decision concerning whether to grant a Time-Off or monetary SAA. Some employees who are beginning their careers may prefer the time-off because it will help them to build up their leave balances. An employee with a number of years of service who has accrued significant leave may prefer the monetary award.
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What factors must be considered when granting On-the-Spot Awards?
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An On-the-Spot Award is meant to recognize a small individual accomplishment or contribution. It cannot be used to recognize group or team contributions. If a team of employees works on a project and their individual contributions are worthy of a small monetary or Time-Off Award, the award should be documented as a team award to recognize the team's accomplishments.
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On-the-Spot Awards require a minimum of documentation and may be approved by the first level supervisor. Employees can receive no more than two cash On-the-Spot Awards during a calendar year. However, the number of Time-Off On-the-Spot Awards is only limited by the total number of excused hours that can be granted in a calendar year.
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What factors must be considered when granting Honor Awards?
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Honor Awards within the DOT are meant to recognize long-term contributions to FHWA initiatives or an exceptionally outstanding contribution with a national or international scope.
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Honor Awards must not be used for retirement recognition.
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What factors must be considered when developing Inventive Incentive Programs?
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Inventive Incentives are non-monetary awards. These non-monetary awards are of an honorary nature and are frequently in the form of an item that can be worn or displayed by the employee. It is desirable that the item bear the organization's logo or an appropriate slogan. Offices may also use vouchers to restaurants or movies or tickets to sporting events as a part of their Inventive Incentive Program. However, care must be taken to ensure competition among suppliers. These awards are also called "Peer Awards."
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Leadership Team Members, Resource Center Director and Operations Manager, Division Engineers, and Division Administrators are authorized to establish Inventive Incentive Programs that will suit the special circumstances of their organizations. This authority should be redelegated to the lowest practical level. In order to ensure long term employee interest in the program, new and different recognition items should be continually identified.
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Each organization will be responsible for developing, naming, and coordinating its own Inventive Incentive Program. A copy of the Inventive Incentive Program should be forwarded to the Office of Human Resources, Employee Relations and Benefits Team (HAHR-23), for informational purposes.
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Managers and supervisors are encouraged to make public presentations of their Inventive Incentive Awards. Funding for Inventive Incentive Awards shall be made from the General Operating Expenses funds available to the organization approving the award.
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What are the procedures for granting SAAs, Time-Off Awards, Team Achievement Awards,or QSIs?
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SAAs and Time-Off Awards for special acts or for performance not based on the rating of record should be initiated by the first level supervisor on form FHWA-1156, Recommendation for Quality Step Increase, Cash or Honor Award. Recommendations should be submitted through the appropriate channels to the approving official. The following award recommendations should be submitted to the Director, Office of Human Resources (HAHR), for appropriate action:
(1) Team award recommendations in excess of $9,500;
(2) Team Achievement Award recommendations; and
(3) Award recommendations for SES and Schedule C employees.
- Approving officials should review each recommendation to ensure that the justification:
(1) highlights the importance of the contribution to the organization;
(2) explains whether the accomplishment or effort is within or outside of job requirements;
(3) fully discusses the level of effort expended (any difficulties or problems that had to be overcome); and
(4) fully supports the recommended award amount.
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If an approving official has a question about the validity of an award recommendation, the servicing human resources office is available to provide advice and assistance.
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Signed copies of the form FHWA-1156 should be forwarded to the appropriate servicing human resources office for processing. The employee will receive a copy of the approved award recommendation and a Standard Form 50 (SF-50) documenting the award.
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Recommendations for Quality Step Increases should be documented on a form FHWA-1156. A copy of the approved outstanding performance rating should be attached. The justification for the outstanding performance rating will provide much of the information needed to support the QSI. However, supervisors are reminded that the justification must support the conclusion that this high level of performance will continue into the future.
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Each fall the HAHR will issue a call memorandum for completed performance appraisals. At that time managers may document any cash awards based on the performance appraisal on form FHWA-1552a, Performance Award Nomination, and enter the performance award amount on the automated Performance Rating Sheet (PRS). The PRS will automatically upload the award information into the Federal Personnel and Payroll System. Further guidance on documenting SAAs based on the performance appraisal will accompany the fall memorandum.
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This order was canceled on June 25, 2010.
Order | ||
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Subject | ||
FHWA Personnel Management Manual; Part 1: Personnel Systems & Procedures, Chapter 9 Awards and Employee Recognition, Section 2 Employee Suggestion Program | ||
Classification Code | Date | |
M3000.1C | February 10, 2006 |
Par.
- What is the purpose of this section?
- Does this directive cancel an existing Federal Highway Administration (FHWA) directive?
- What reference was used in writing this section?
- How does the Employee Suggestion Program work?
- Who can participate in the Employee Suggestion Program?
- What is an eligible suggestion?
- What must a suggestion include?
- Can employees work on their ideas during working hours?
- Is there anything a suggester can do to help the evaluator?
- What if the suggester wants to remain anonymous?
- What if the suggester disagrees with the determination of the deciding official?
- What is the role of the evaluator?
- What are the steps for evaluating a suggestion?
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What is the purpose of this section? The purpose of this section is to provide procedures and guidelines for the Federal Highway Administration (FHWA) Employee Suggestion Program. One of the major goals of the FHWA is to provide the American people with a more efficient and economical government. To do this, all employees are encouraged to submit suggestions to the FHWA through the Employee Suggestion Program.
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Does this directive cancel an existing Federal Highway Administration (FHWA) directive? No. This is a new section that has been added to the Personnel Management Manual (PMM).
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What reference was used in writing this section? The Departmental Personnel Manual, Chapter 451, dated December 29, 2003, was used in writing this section.
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How does the Employee Suggestion Program work? An employee submits his/her ideas to the employee's local Suggestion Program Coordinator. Deciding officials evaluate the ideas and determine if they can be implemented. If the idea is adopted locally, the deciding official, in cooperation with the Suggestion Program Coordinator, determines an appropriate award amount or other form of recognition. Ideas that may have impact on other parts of the FHWA are forwarded to the Suggestion Program Officer for further evaluation.
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Who can participate in the Employee Suggestion Program? All FHWA employees, including managers and supervisors, are eligible to participate in the Employee Suggestion Program. An idea may be submitted by an individual or a group of employees. Ideas should be submitted on FHWA Form 90, Official Suggestion Form, to the employee's local coordinator. Further information about the Employee Suggestion Program is in Attachment 1 to this chapter
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What is an eligible suggestion? An eligible suggestion is a constructive idea that proposes a method to do a task better, cheaper, faster or safer. Although the suggestion can - and most likely will - relate to the employee's work, it should not be considered an essential part of the employee's job.
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What must a suggestion include? A suggestion must include the following:
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Describe a current situation which could be improved or a specific problem which impedes the efficiency or effectiveness of Federal government operations and/or services.
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Provide a specific solution or improvement to the problems. Use sufficient details so the merits are clear to the evaluator.
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To the extent possible, estimate the costs and benefits of implementation to the Federal government
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Suggesters should ask their supervisor or a co-worker to read the idea to determine whether it is understandable and workable. The employee's supervisor may also be able to give the employee assistance in presenting the employee's idea
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Can employees work on their ideas during working hours? Yes. Employees can work on their ideas during working hours with the permission of their supervisors. Managers and supervisors are encouraged to permit employees to use a reasonable amount of time to develop their ideas.
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Is there anything a suggester can do to help the evaluator? Yes. Deciding officials and evaluators are encouraged to contact suggesters to discuss their ideas. They will ask the local Suggestion Program Coordinator for permission to contact the suggester directly. Suggesters should make themselves available. If the evaluator asks for additional information, the suggester should provide it. The suggester must be sure to give the Suggestion Program Coordinator a copy of the information provided to the evaluator so that suggester's suggestion file is complete.
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What if the suggester wants to remain anonymous? If the suggester does not want the evaluator to know who the suggester is, the suggester should inform the Suggestion Program Coordinator that he/she wants to remain anonymous. It may help the evaluator to better understand the suggester's idea if the evaluator can talk directly to the suggester.
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What if the suggester disagrees with the determination of the deciding official? The suggester has reconsideration rights for 2 years from the date of adoption or rejection of the suggestion. If new evidence becomes available during that time which might cause the suggestion to be adopted or the award to be increased, the suggester may request reconsideration. If the suggestion was rejected, the suggester may resubmit it at the end of the 2-year period and it will be handled as a new idea. It will then receive a new number, a new evaluation, and new reconsideration rights.
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What is the role of the evaluator?
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The evaluator's job is to get the facts. Decisions based on incomplete information cannot be sound. While the evaluator is not expected to know all the facts personally, a good evaluation will depend on the evaluator's knowledge of how and where to get them. A factual evaluation reveals to the suggester that the idea received a thorough review.
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All suggestions must be handled as current business (answered within 20 days of receipt by the evaluator), for both the employee and the FHWA to derive the most benefit from the program.
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Evaluations that are delayed unnecessarily are doubly damaging. First, the lack of a reply by the evaluator may raise the employee's expectations that the idea will be adopted. Then, if the suggestion is not adopted, the suggester's disappointment is even greater. Every day of delay means the FHWA is not benefiting from the savings that an idea may generate.
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Subjects of critical importance, such as safety, should be answered and returned even more promptly to prevent the possibility of harm to FHWA employees.
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What are the steps for evaluating a suggestion? The evaluator must do the following:
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Read the file promptly upon receipt. If the suggestion does not involve the evaluator's office, it must be returned to the Suggestion Program Coordinator.
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Ensure an understanding of the intent of the suggestion. To do this, the evaluator must determine:
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whether the problem actually exists;
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whether the problem is of sufficient magnitude to justify costly implementation; and
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whether the suggested idea will solve the problem. If the suggestion stimulates thinking or action or an alternative idea that solves the problem, the suggestion should receive credit.
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Gather all pertinent data, including
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details of current and proposed practices;
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estimates of benefits and costs of implementing the idea; and
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samples, as necessary.
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Analyze the data to determine if:
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the evidence is sufficient to make a sound final decision on behalf of management;
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another office should also evaluate the suggestion for possible implementation; and
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the suggestion is of sufficient merit to recommend it to another program area.
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When writing a non-adopt (decline) decision (See Attachment 2 for tips on writing evaluations):
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obtain a valid justification for the non-adoption decision;
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(2)write a full and complete report; and
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(3)send a copy of the evaluation to the suggester with a non-adoption letter and recognize that the suggester may submit a rebuttal to the evaluation.
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When writing an adopt decision (see Attachment 2 for tips on writing evaluations):
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(1)develop a detailed estimate of the cost (if any) to implement the suggestion;
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(2)develop a detailed estimate of first-year tangible savings; and
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(3)indicate intangible benefits value and extent of application, using the Intangible Benefits Guide in Attachment 3.
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Submit the evaluation promptly to the Suggestion Program Coordinator.
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Order | ||
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Subject | ||
FHWA Personnel Management Manual; Part 1: Personnel Systems & Procedures, Chapter 9 Awards and Employee Recognition, Section 2, Attachment 1: Useful Information Concerning Suggestions | ||
Classification Code | Date | |
M3000.1C | February 10, 2006 |
Attachment 1: Useful Information Concerning Suggestions
SUGGESTION ELIGIBILITY
An eligible suggestion is a constructive idea, invention, problem solution, or achievement leading to the improvement of methods, equipment, procedures, or operations. The proposal or accomplishment should contribute directly to economy, efficiency, cost avoidance, mission effectiveness, or energy conservation.
SUBJECTS NOT PROCESSED THROUGH THE SUGGESTION SYSTEM
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An idea that involves service and benefits to employees over which the Agency has no control, such as the credit union or employee activity matters.
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The routine work of taking care of building and grounds, such as repairing, cleaning, replacing, painting, or adjusting.
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An idea that, as a matter of record, has been previously considered by management or a problem, which offers no specific solution.
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A duplicate idea submitted within the 2-year period following the date the original suggestion was declined.
SUGGESTION versus JOB RESPONSIBILITIES
An award may be granted to an employee for an adopted suggestion, which concerns matters within or outside the employee's job responsibilities. However, if it is within the job expectancy, the idea must be so meritorious as to warrant special recognition.
Determining whether an idea is a suggestion or a part of the individual's job responsibility is one of the most difficult issues for the supervisor or evaluator to decide. The following guidelines may be helpful.
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Would the suggester have to go to a higher authority to implement the suggestion? If so, the suggestion is probably eligible.
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Is the nature of the suggestion such that the suggester's performance would be judged less than satisfactory if he or she did not make the suggestion? If so, the suggestion is probably not eligible.
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Is the suggester expected or required to make suggestions of the type under consideration? For example, a suggestion made by a supervisor affecting his or her work unit is not considered eligible for an award because it is the type of idea expected of a supervisor. However, what is the extent of application? Is there anything beyond the expected scope of the position or unique about this particular suggestion? If the suggestion is related to the job but it extends beyond usual expectations, the suggestion may be eligible.
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Does the suggestion fall partially within the area of the suggester's job responsibilities? In this case, it may be eligible.
PROTECTION
Even when an idea is declined, the suggester's rights are protected for 2 years. If a declined suggestion is adopted within this period, and if the original conditions pertaining to its adoption has not changed, the suggester will be eligible for award consideration.
WHAT'S NEW?
Remember that the idea does not have to be unique or original. If it has never been used in the situation for which it is now being suggested, and its use will result in a tangible savings or intangible benefits, then it is a valid suggestion.
Answering these questions might help:
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If it was a unique or original idea, what was the amount of originality, creativity, or unusual effort involved?
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What about the impact or benefits derived by the idea?
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How many offices, jobs, or projects will be affected by the suggestion?
VIRTUE HAS ITS OWN REWARD
Even if the suggestion is within the suggester's area of responsibility, if it is extremely meritorious in terms of either tangible savings or intangible benefits, then it warrants special recognition. This could be in the form of:
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a Superior Accomplishment Award for an approved suggestion;
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a Certificate of Appreciation; or
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a Letter of Commendation.
Consult with the Suggestion Program Coordinator before recommending any of these forms of recognition.
IN SUMMARY
As the evaluator, you are an important link between management and the suggester. You may be called upon to:
-
use your good judgment to resolve conflicts of interest, or
-
augment or even alter a suggester's idea to develop a solution satisfactory to all concerned.
Remember that in addition to the obvious savings of precious resources, the roots of a suggestion system are firmly grounded in the desire of most people to improve the conditions under which they work. People also have a desire to be recognized and respected as individuals for their efforts. Our suggestion system helps to satisfy both those needs.
- And you, as an evaluator, hold the key to the success of the program.
Order | ||
---|---|---|
Subject | ||
FHWA Personnel Management Manual; Part 1: Personnel Systems & Procedures, Chapter 9 Awards and Employee Recognition, Section 2, Attachment 2 Writing the Evaluation | ||
Classification Code | Date | |
M3000.1C | February 10, 2006 |
Attachment 2: Writing the Evaluation
-
Be positive
Approach suggestions with a positive attitude. If the entire suggestion cannot be adopted, consider whether it may be adopted in part or with modification. In these instances, the suggester may be entitled to an award based on the extent of influence the suggestion contributed to management's action (a partial award). Be certain the reasons for the non-adopt action are clear. If you cannot adopt a suggestion, do not dwell on or overemphasize its shortcomings.
-
Summarize First
Start the evaluation with a brief summary of the suggestion so the suggester knows you understand the idea. Follow with the reasons for your decision and conclude with an expression of appreciation for participation in the program.
-
Watch the Tone
Write answers that you would be willing to accept. Avoid a cold, impersonal, or superior tone. (Remember that a copy of your evaluation, with your name, will be sent to the suggester with a non-adoptive letter.)
Write the answer with the suggester in mind. Use language that the suggester will understand. A responsive answer often eliminates requests for reconsideration.
-
Don't "Turn Off"
Avoid words or statements that might "turn off" suggesters, such as:
- "scheme" (It sounds negative. Use "plan" or "idea");
- "impractical" (also unpleasant; use "not feasible");
- "gadget" (It belittles a suggester.); and/or
- "reject" or "rejection" (Use "not adopted" or "declined.").
-
Be Brief
Try to keep your evaluation short. In other words, do not overwhelm the reader with detail.
-
Be Timely
Respond in a timely manner. Remember that delaying the implementation of an adopted suggestion can cost the Federal government money.
-
Consider Legality
Consider the legal aspects of your evaluation. If the idea has legal implications, return it to the Suggestion Coordinator with a note attached recommending review by the Chief Counsel and Chief Financial Officer's Office.
-
Review
As you review your draft evaluation, ask yourself these questions:
- Is it written to the suggester?
- Is it clear as to why the suggestion will not be adopted?
- Is it motivational - does it encourage future suggestions?
- Is it appreciative? Does it thank the suggester for taking the time and effort to submit ideas for improving the organization?
- Is it possible to implement the suggestion in another unit in FHWA? Did I tell the suggester that?
- Am I totally satisfied with the research, data analysis, conclusions, and write-up of the evaluation?
- In writing the evaluation, have I been totally fair, "long-range minded," and objective?
- If I were the suggester, would I be satisfied to receive the evaluation?
If the answer is "NO" to any of the above, the evaluation should be revised accordingly.
Order | ||
---|---|---|
Subject | ||
FHWA Personnel Management Manual; Part 1: Personnel Systems & Procedures, Chapter 9 Awards and Employee Recognition, Section 2, Attachment 3 Tangible Awards Scale | ||
Classification Code | Date | |
M3000.1C | February 10, 2006 |
Attachment 3: Tangible Awards Scale
A cash award may be granted for an employee suggestion that exceeds job requirements and results in tangible benefits having a value of $250 or more. The amount of such award shall not be less than $25 and shall normally be based on a reasonable estimate of net monetary benefits for the first full year of operation following the suggestion.
The amount of the award is determined in accordance with the table and other provisions described below, unless, for special reasons, a different amount is justified. If so, reasons must be documented to support the action taken.
TANGIBLE BENEFITS GUIDE
Tangible Benefits | Amount of Award |
---|---|
Estimated First Year Benefits to the Government | Amount of Award |
Up to $10,000 | 10% of estimated benefits |
$10,000 to $100,000 | $1,000 for the first $10,000 plus 3% of estimated benefits over $10,000 |
$100,001 or more | $3,700 for the first $100,000 plus .5% of estimated benefits over $100,000 |
INTANGIBLE BENEFITS GUIDE
Awards Scale for Intangible Benefits
Value of Benefit | Limited | Extended | Broad | General |
---|---|---|---|---|
Moderate | $25-100 | $100-150 | $ 150-200 | $ 200-400 |
Substantial | $75-125 | $125-200 | $ 200-400 | $ 400-1000 |
High | $125-250 | $250-400 | $400-1000 | $1000-2500 |
Exceptional | $250-400 | $400-1000 | $1000-2500 | $2500-5000 |
The amount of a cash award based on non-measurable benefits shall be determined on the basis of its value or benefit to Federal government operations after full consideration of such factors as extent of application, significance of the suggestion, and importance of the programs affected. However, the minimum cash award of $25 will not be granted unless the suggestion compares favorably with those receiving the minimum cash award for tangible benefits. Every effort must be made to estimate tangible savings.
Definition of Terms
-
Moderate Value. An employee suggestion that results in intangible benefits of moderate importance, when considered in relation to the overall operation to which it pertains, such as a minor improvement to an FHWA form or publication, a minor change in procedure.
-
Substantial Value. An employee suggestion that results in intangible benefits and has an effect on the overall operations to which it pertains, such as a major improvement in a form or procedure which increases efficiency.
-
High Value. An employee suggestion that results in intangible benefits and has a significant effect on the overall operations to which it pertains or contributes to better relations with or greatly improved service to the public. Examples are complete revisions of a form or procedure, development of a new form or procedure that greatly increases efficiency, or a proposal for solving an important operational problem.
-
Exceptional Value. An employee suggestion that results in intangible benefits of extraordinary significance having an exceptional value to the operation to which it pertains. Examples are a proposal for a streamlined procedure that would promote efficiency to a far greater degree than is normally achievable, or a suggestion that solves several problems that are interrelated and results in highly improved operations.
-
Limited Application. An employee suggestion that affects operations in one organizational segment of an FHWA office.
-
Extended Application. An employee suggestion that affects operations of several organizational segments or FHWA offices.
-
Broad Application. An employee suggestion that is applicable to all of Washington Headquarters or to several field offices, or is in the public interest in many areas. May be applicable to all field offices. Useful agency-wide.
-
General Application. An employee suggestion that is applicable throughout several Federal Agencies or departments or in the public interest throughout the Nation.
Order | ||
---|---|---|
Subject | ||
FHWA Personnel Management Manual; Part 1: Personnel Systems & Procedures, Chapter 9 Awards and Employee Recognition, Section 3 Length of Service Recognition | ||
Classification Code | Date | |
M3000.1C | February 10, 2006 |
Par.
- What is the purpose of this section?
- Does this directive cancel an existing FHWA directive?
- What reference was used in writing this section?
- How is length-of-service recognized?
- What are the responsibilities of FHWA offices?
-
What is the purpose of this section? The purpose of this section is to provide procedures and guidelines for recognizing employees of the Federal Highway Administration (FHWA) who reach certain career milestones.
-
Does this directive cancel an existing FHWA directive? Yes. This directive cancels Personnel Management Manual (PMM) Chapter 9, Section 3, Length-of-Service Recognition, dated June 28, 1996.
-
What reference was used in writing this section? Departmental Personnel Manual, Chapter 451, dated December 29, 2003, was used in writing the section.
-
How is length-of-service recognized? The FHWA shall recognize employees for their total creditable service with the Federal government. The service need not be continuous. Military service creditable toward an employee's service computation date and Federal service with other Federal agencies are included.
-
Career recognition will be granted at the completion of the following years of service: 5, 10, 15, 20, 25, 30, 35, 40, 45, 50, and above.
-
Employees who reach the 5, 10, 15, 20, and 25-year milestones will receive a length-of-service certificate and pin.
-
Washington Headquarters employees who attain the 30, 35, 40, 45, 50, and above years of service will be recognized at a quarterly ceremony and will receive a length-of-service certificate, pin, and a recognition item.
-
Field employees who attain the 30, 35, 40, 45, 50, and above years of service will receive a congratulatory letter from the Federal Highway Administrator, a length-of-service certificate, pin, and a recognition item.
-
-
What are the responsibilities of FHWA offices?
-
The Office of Human Resources (HAHR) will generate, on a quarterly basis, a computer listing of those employees who will have reached one of the designated milestones.
-
HAHR will prepare the certificates and congratulatory letters and arrange to have them signed by the Federal Highway Administrator.
-
In Washington Headquarters, HAHR will distribute the certificates and pins of employees who have reached the 5 to 25-year milestones to the appropriate program coordinators for distribution.
-
HAHR will also arrange the quarterly recognition ceremonies for employees who have reached the 30-year and above milestones.
-
In the field offices, certificates, pins, congratulatory letters, and length-of-service recognition catalogs of field employees will be sent to the servicing human resources offices for distribution. Field office supervisors will arrange appropriate presentation ceremonies for their employees
-
Order | ||
---|---|---|
Subject | ||
FHWA Personnel Management Manual; Part 1: Personnel Systems & Procedures, Chapter 9 Awards and Employee Recognition, Section 4 Retirement Recognition | ||
Classification Code | Date | |
M3000.1C | February 10, 2006 |
Par.
- What is the purpose of this section?
- Does this directive cancel an existing FHWA directive?
- What reference was used in writing this section?
- How is retirement recognized?
- What are the responsibilities of FHWA offices?
- What is the Distinguished Career Service Award, and how is it administered?
- What are retirement recognition items, and how are they administered?
-
What is the purpose of this section? The purpose of this section is to provide procedures and guidelines for recognizing employees of the Federal Highway Administration (FHWA) at the time of retirement.
-
Does this directive cancel an existing FHWA directive? Yes. This directive cancels Personnel Management Manual (PMM) Chapter 9, Section 4, and Retirement Recognition, dated June 28, 1996.
-
What reference was used in writing this section? Departmental Personnel Manual, Chapter 451, dated December 29, 2003, was used in writing this section.
-
How is retirement recognized? Each FHWA employee retiring under the provisions of the Civil Service Retirement Act or the Federal Employee Retirement System will receive a Department of Transportation (DOT) retirement plaque and a congratulatory letter from the Federal Highway Administrator.
-
What are the responsibilities of FHWA offices? Once an employee announces his/her retirement, the appropriate offices are responsible for ensuring that the employee's accomplishments and contributions are appropriately recognized. The Office of Human Resources has established the HR Retire e-mail box. All information concerning a potential retiree should be placed in this box.
-
Washington Headquarters
-
Washington Headquarters program coordinators will:
-
notify the Office of Human Resources (HAHR), not less than four weeks in advance of a retirement date to allow sufficient time for preparation and delivery of the plaque; and
-
prepare appropriate wording for a retirement letter to be signed by the Federal Highway Administrator.
-
-
Administrative Service Teams will:
-
notify the HAHR in writing at least four weeks prior to the employee's retirement date to allow sufficient time for the preparation and delivery of the retirement plaque; and
-
arrange the preparation of appropriate wording for a retirement letter to be signed by the Federal Highway Administrator.
-
-
-
HAHR. The HAHR:
-
will arrange for the preparation of the plaque;
-
will finalize an appropriate retirement letter for each retiring employee; and
-
will forward the plaque and the retirement letter to the appropriate Unit Manager for presentation to the retiree.
-
-
-
What is the Distinguished Career Service Award, and how is it administered?
-
If a Unit Manager determines that an employee's Federal service has been especially meritorious, he/she may recommend that the employee be considered for the Distinguished Career Service Award. The recommendation should be made on Form FHWA-1156, Recommendation for Quality Step Increase, Cash or Honor Award. The form should be submitted at least 6 weeks prior to the employee's retirement date in order to ensure sufficient time to prepare the award. The award is an engraved wooden plaque and may be granted to an employee with 20 or more years of Federal service at the time of retirement who has been recognized by any combination of two or more of the following:
-
outstanding performance ratings,
-
quality step increases,
-
special act cash or time-off awards, or
-
any of the Secretary of Transportation or Federal Highway Administrator's Honor Awards.
-
-
The recommendation should:
-
identify significant accomplishments throughout the employee's career,
-
include a short resume of the employee's service,
-
include a listing of any honors and awards that the employee has received, and
-
include a memorandum from the Unit Manager which further supports the recommendation.
-
-
The Unit Manager should submit the Recommendation for the Distinguished Career Service Award to the Federal Highway Administrator through the Director of HAHR. After the Administrator approves the recommendation, HAHR will arrange for preparation of the award.
-
-
What are retirement recognition items, and how are they administered?
-
First level supervisors may approve retirement recognition items for their retiring employees. The supervisor should place a message in the HAHR Retire e-mail box advising the HAHR that the retiree may receive an item.
-
The HAHR will send the retiree a catalogue that contains photos of items from which the employee may select.
-
All of the retirement recognition items contain the logo "FHWA Honors Your Retirement."
-
Chart 1
SECRETRAY'S HONOR AWARDS
Secretary's Honor Awards |
Who is Eligible? |
Purpose of Award |
Type of Recognition |
Criteria |
Nomination Procedures |
---|---|---|---|---|---|
Partnering for Excellence Award |
Intermodal teams/groups |
To recognize intermodal teams/groups that have used the Partnering for Excellence training to further ONE DOT activities in support of one or more DOT strategic goals. |
Crystal Award |
The teams’ or groups’ activities must support one of these Strategic Goals: Safety: Promote the public health and safety by working toward the elimination of transportation-related deaths, injuries, and property damage. Mobility: Shape America's future by ensuring a transportation system that is accessible, integrated, and efficient, and offers flexibility of choices. Economic Growth and Trade: Advance America's economic growth and competitiveness domestically and internationally through efficient and flexible transportation. Human and Natural Environment: Protect and enhance communities and the natural environment affected by transportation. National Security: Advance the Nation's vital security interests in support of national strategies such as the National Security Strategy and National Drug Control Strategy by ensuring that the transportation system is secure and available for defense mobility and that our borders are safe from illegal intrusion. |
Each spring the Office of Human Resources will issue a call for nominations for Secretary's Honor Awards. The nomination should be prepared on white bond paper. The narrative supporting the nomination should be limited to one page per strategic goal. Attachments will not be considered. |
Secretary’s Award for Meritorious Achievement |
All employees |
The Secretary is especially interested in recognizing employees who have significantly contributed to organizational goals and objectives by identifying and achieving cost savings and visibly supporting the reinvention efforts of DOT. |
Crystal Award |
Nominations for this award are based on meritorious contributions of unusual value to the DOT in meeting its strategic goals. Examples of such contributions include but are not limited to:
|
Each spring the Office of Human Resources will issue a call for nominations for the Secretary's Honor Awards. The nomination should be prepared on DOT Form 3200.2 The narrative supporting the nomination should be limited to the space provided on the form. Attachments will not be considered. |
Award for EEO/Affirmative Action |
Any employee whose primary job is not in the EEO and Affirmative Action areas. |
To demonstrate the value that top-level management places on efforts to actively and effectively enhance the DOT's efforts in the areas of EEO and Affirmative Action. |
Plaque |
This award recognizes the DOT's highest level of honor and recognition to those employees who have excelled in promoting equal opportunity/affirmative action while serving in positions that are not primarily EEO related. Employees whose primary job responsibility is in the area of EEO and affirmative action are not eligible for this award. They should be considered for the Meritorious Achievement Award. |
Same as above. |
Award for Excellence | Career employees in grades General Schedule (GS) -1 thru GS-14 and Wage Grade (WG) -1 thru WG-8 | To honor high achieving employees in clerical, administrative, technical, and general support positions. | Crystal Award | Nominations must be based on outstanding achievement of all major duties. All aspects of performance must not only far exceed normal requirements but also deserve special commendation. In addition, an employee can be recognized, wholly or in part, for accomplishments or actions that contribute to a stronger ONE DOT. An employee need not have received an outstanding rating during the last rating period to be nominated providing he/she is performing at the level to earn such a rating at the time of the nomination. | Same as above. |
Award for Valor |
All employees |
To honor heroism |
Plaque |
An employee must have demonstrated outstanding courage and voluntary risk of personal safety in the face of danger in an emergency while on or off duty. |
Same as above. |
The Award for Volunteer Service and the Community Service Award |
All employees |
The Volunteer Service Award recognizes employees who have made significant contributions through any of the volunteer programs for which the DOT provides support or sponsorship. The Community Service Award recognizes employees who have made significant contributions to their local community or the community at large. |
Plaques |
The nomination should include length of volunteer or community service, number of hours per week, month or year; innovation or initiative in improving conditions of the organization being served; type of service rendered; and benefits to the community. |
Same as above. |
Team Award |
Groups or teams |
To recognize groups and teams both within FHWA and those that cross operating administrations (OAs) in recognition of meritorious contributions of high value to the DOT in meeting one or more of the Strategic Goals, and whose exceptional performance results in the improvement, reinvention, or reengineering of practices, operations, and customer services. Groups and teams include cross-functional teams, natural work groups, design project teams, and process/quality action teams that work together as a unit to achieve shared objectives or missions. In cases where the nomination is for an intermodal team, the award will not count against the nominating OA's allocation. |
Crystal award obelisk |
Nominations must specifically address each element included in the following: Teamwork - Describe how the members of the team/group work together effectively either within FHWA or across OAs in coordinating and carrying out assignments to achieve common objectives. At least one example of an activity that displays cooperation, coordination, or group process skills is required. Problem Solving - Describe how the members of the group or team effectively use problem solving methods, techniques, and tools (as appropriate) to achieve desired objectives and/or integrate objectives, procedures, etc., of participating OAs. Customer Focus - Describe the link between the work of the team and the benefits derived by the customers; how customer input and feedback were obtained; and how they were used to make corrective actions or to improve services to the customers. Where appropriate, describe how using an intermodal approach enhanced customer service. Creative and Innovative Techniques - Describe any innovative techniques used by the team to develop recommendations for improvements. The work of the team should reflect an awareness of evolving methods, procedures, and technologies. Where appropriate, highlight techniques that promote cooperation and collaboration among the OAs. Results - Describe results accomplished by the team such as objectives met, solutions found, and process changed or improved. |
Descriptions should be limited to one page per criterion/element, for a total of 5 pages, plus Form DOT 3200.2 as the coversheet. Attachments will not be considered in the evaluation process. |
ADMINISTRATOR HONOR AWARDS
Administrator's |
Who is Eligible? | Purpose of Award | Type of Recognition | Criteria | Nomination Procedures |
---|---|---|---|---|---|
Superior Achievement |
All employees |
To recognize superior service which has been an inspiration to others, or the exceptional accomplishment of a specific DOT or FHWA program. |
Plaque, medal and lapel rosette |
This is the highest honor award given by the Federal Highway Administrator and nominations should reflect significant contributions in advancing FHWA's Performance Objectives including the Vital Few and the Corporate Management Strategies. If necessary, a panel will be convened to select the best candidates. Nominations for this award are based on a degree of performance which is less than the requirement for the Secretary's Award for Meritorious Achievement, but which far exceeds normal job requirements, such as:
|
Each spring the Office of Human Resources will solicit nominations. Special instructions will be included in this memorandum. Nominations should be prepared on Form FHWA-1156 |
Quality Journey Awards |
FHWA Organizations |
To recognize organizational efforts in working toward a total quality environment. |
|
Nominations for this award are evaluated based on the organization's demonstrated use of quality management practices in leadership, strategic planning, customer focus, information and analysis, human resource development and management, process management, and results. LEADERSHIP. This item addresses senior management's role in providing leadership and direction in building and improving organizational performance and capabilities. (130 points)
STRATEGIC PLANNING. (80 points)
CUSTOMER FOCUS. This factor addresses the effectiveness of the organization's system to determine customer requirements. (80 points)
INFORMATION AND ANALYSIS. This factor addresses the organization's management of data and information for quality improvement and planning. (80 points)
HUMAN RESOURCE DEVELOPMENT AND MANAGEMENT. This factor examines how the workforce is enabled to develop and utilize its full potential, as a part of the organization's total quality strategy. (110 points)
PROCESS MANAGEMENT. This element is the focal point within the criteria for all key work processes. Included in this category are the central requirements for efficient and effective process management: effective design, prevention orientation, evaluation and continuous improvement, linkage to suppliers, and overall high performance. (120 points)
BUSINESS RESULTS. This factor provides a results focus for all processes and process improvement activities. This element has a dual purpose: superior value of offerings as viewed by customers, and superior organization performance reflected in productivity and effectiveness indicators. (400 points)
|
Each spring the Office of Human Resources will solicit nominations. Special instructions will be included in the solicitation memorandum. Nominations should be prepared on white bond paper and bear the signature of the organization's head official. |
Quality Excellence | Large Crystal Award | ||||
Quality Breakthrough | Wooden Plaque | ||||
Quality Commitment | Framed Certificate | ||||
Heartland Award |
All employees |
The Heartland Award was established in 1995 to honor the memories of those lives lost in the blast at the Murrah Federal Building in Oklahoma City and to recognize the dedication of the survivors. |
Large Crystal Award |
The Administrator may grant this award to an individual employee or to a team whose exceptional service to the public reflects the high level of dedication and determination exemplified by the Oklahoma Division employees.
|
|
Strive for Excellence Awards: a. Customer Service |
Teams, groups, or individuals | Salutes a commitment to customer service and products that exemplifies FHWA’s vision, mission, values, and goals. |
National: Crystal Award Local: Crystal Paperweights |
Customer Satisfaction. (120 points)
Quality Improvement Efforts. (240 points)
Employee Commitment to Customer Service. (60 points) Describe proactive efforts to anticipate or prevent future problems. |
The Office of Human Resources will issue a memo soliciting nominations for these awards. The memo will contain in-depth information concerning nominating procedures. Nominations should be submitted on FHWA Form -1156. |
b. Team |
Teams, groups or individuals |
Honors the spirit of partnership and teamwork between FHWA and its partners to accomplish the organization's goals. |
Same as above |
Team Organization. (125 points)
Team Process and Actions. (125 points) Describe the methods and tools used to determine the current level of customer satisfaction; methods and tools used to identify and prioritize improvement, changes, and/or processes; actions taken to gain cooperation and support of customers, suppliers, stakeholders, and/or process owners; process actions deployed and their effectiveness, feasibility and cost benefits, plus any modeling, and/or benchmarking; and action plan or action register development, and implementation and deployment process and results. Team Results. (125 points) Provide evidence of measured output or outcome results and accomplishments, value added and quality improvement, and within budget and schedule; customer satisfaction that team's activity and performance led to improved results; and that results met/achieved organization's goals and/or objectives. Team Follow-up and Corrective Actions. (125 points) Provide evidence of team actions to integrate, communicate and monitor the deployment or outcomes and outputs; methods and actions to ensure process, systems, or products continue to meet or accomplish the continuous improvement objectives; identification of additional deficiencies and opportunities for improvement or productivity outputs; measured team assessment and performance and evidence that team process and the results were compared and found superior over more traditional business processes; and actions taken to disseminate/share information and results for purposes of learning and understanding, and any evidence that other teams and organizations benefited from the shared information. |
Same as above |
c. Innovation | Teams, groups or individuals | Recognizes a suggestion, special act or initiative that has substantially impacted quality and productivity in the FHWA. | Same as above |
Identity of Improvement Opportunity. (125 points) Describe the organization's role and mission; the problem in terms of waste, inefficiency, rework, and costs using the former method of implementation or of the gap between current performance and desired performance; methods and tools used to identify improvement opportunity; and methods and tools used to identify current level of customer satisfaction. Process Action. (90 points) Describe the actions taken to accomplish the improvement; explain what makes the improvement or accomplishment unique; and describe methods and tools used to insure the improvement or accomplishment is aligned with organizational goals and objectives. Results. (180 points) Describe results; explain how the innovation rectified the problem; provide evidence that innovation led to savings of time, money, and person power; and describe how results met the organization's mission, goals, and objectives. Follow-up (Extra Credit). (100 Points) Describe the efforts to ensure that improvements are integrated and communicated to other concerned or interested organizations; efforts to integrate improvements into daily activities; and efforts to disseminate success story. |
Same as above |
Partnership in Excellence Award |
Groups or teams comprised of FHWA employees and employees from other DOT modes or State DOT's. |
This award recognizes grassroots activities and contributions toward achieving DOT's Strategic Goals. This award can be the first tier of a two-tiered recognition effort. Groups honored with this award can be later considered for the Strive for Excellence Award. |
Paperweights |
The groups or teams should be comprised of no less than 3 people and at least one of the members of the team must be an employee of another DOT mode. The team's accomplishments must be directly related to one of DOT's Strategic Goals: Safety, Mobility, Economic Growth and Trade, Human and Natural Environment, and National Security. |
The FHWA-1156 can be submitted by the team's leader or by the manager for whom the team is working. The nomination can be approved at the local level. Copies of approved nominations should be forwarded to the Washington Headquarters Office of Human Resources for record keeping purposes and to servicing human resource offices for inclusion in the Employee Performance Folder. |
Excellence in Leadership Awards | All employees | Leadership is at the very core of the FHWA's future. These awards are designed to honor the contributions that employees are making to the FHWA Mission of "Enhancing Mobility Through Innovation, Leadership and Public Service." | An engraved marble statue |
|
|
The FHWA Leadership Award | Individual FHWA Employees | Leadership can be found throughout all levels of the organization. This is consistent with FHWA's philosophy that "leadership is everyone's business." The FHWA Leadership Award honors those employees in all grade levels who have taken leadership roles in advancing FHWA's goals and mission. | Same as above | ||
The Richard D. Morgan Leadership Development Award | FHWA managers and supervisors | This award is designed to honor those team leaders, managers and supervisors who, as leaders, are nurturing and supporting the development of their employees to ensure a future cadre of FHWA organizational leaders. | An engraved marble clock | There will be no solicitation for this award. The Administrator will select the recipient. |
AWARDS FOR SPECIAL ACHIEVEMENT AWARDS
Type of Award |
Who is Eligible? |
Purpose of Award |
Type of Recognition |
Criteria |
Nomination Procedures |
---|---|---|---|---|---|
Special Achievement Award based on a Special Act or Service |
|
To recognize the superior acts, services, contributions, or efforts of individual employees or teams of employees.
|
|
Performance of a particular project or assignment or a detail of either short of long duration, which warrants special recognition. A significant individual accomplishment that management wishes to recognize immediately rather than waiting to recognize with a performance award at the end of the rating period. A significant team/group contribution that management wishes to recognize. An unusual, one-time employee accomplishment that merits only a small award. Superior contributions, which warrant a one-time bonus. |
Supervisor should prepare recommendations for awards on Form FHWA-1156. The recommendation should describe:
Recommendations should be made within 30 days of the accomplishment or contribution. Employees may only receive one award per accomplishment or contribution. Award recommendations must be forwarded to the appropriate manager for approval. |
Monetary |
All General Schedule (GS) or Wage Grade (WG) employees. |
Monetary |
|||
Time-Off |
All GS, WG, or Career Senior Executive Service (SES) employees |
Time-Off Up to 40 hours of time-off may be granted to an employee for an accomplishment or contribution When the award is to a group, all members should share in the recognition. The amount of time-off may be shared equally or divided in proportion to the individual contribution. No employee in the group may receive more than 40 hours. |
|||
Combination | All GS or WG employees |
Combination Special Act Awards may be a combination of cash and time-off. The combination of the two should not exceed the value of the contribution to the FHWA. |
|||
Performance based Special Achievement Awards |
All Performance Management System (PMS) employees who receive a rating of “Outstanding” or "Meets or Exceeds Requirements;”have occupied a PMS position for 90 days prior to September 30; and have not been in a non-pay status for 90 days or more during the rating period.
|
This award is meant to recognize performance based on the employee’s rating of record.
|
Monetary |
A rating of Outstanding or Meets or Exceeds requirements based upon at least 90 days of performance. |
After the PMS employees in an award pool have been assigned a rating of record for the PMS appraisal period, a determination may be made as to their eligibility for a performance based Special Achievement Award. The award recommendations can be documented on the FHWA-1552 or the FHWA-1552a. Each fall the Office of Human Resources will provide pool managers with a rating list for the recording of performance ratings. Any monetary and Time-Off awards based on the rating of record can be included on the list. |
Time-Off | Time-Off An employee may be granted up to 40 hours of Time-Off in recognition of a rating of “Outstanding” or “Meets or Exceeds Requirements.” The number of hours granted should be based on an assessment of the of the value of the employee’s work accomplishments, relative to the goals of the organization, the grade level of the position, and impact on mission. |
||||
Combination |
Combination |
||||
On-the-Spot Monetary, Time-Off | All GS and WG employees | It is meant to recognize a one time accomplishment or contribution that merits only a small award. |
Cash Awards from $50 not to exceed $300, not to exceed two in a year; or Time-off not to exceed 1 work day; or A combination of the two: e.g., an on the spot award can be $150 and half a day in time-off. |
An individual effort or contribution of limited value to the organization. |
Recommendations may be made on FHWA-1156 or may be in the form of a memorandum from the supervisor to the employee. In either situation, a brief description of the accomplishment or contribution should be provided. |
Combination | |||||
Quality Step Increases (QSI) |
All GS employees who are not at the end of the pay band. |
The purpose of the QSI is to recognize outstanding performance by granting faster than normal step increases. |
Within-grade Increase |
The employee must have a current performance rating of outstanding. A brief narrative should be included which:
The employee has not received a QSI within the past 52 weeks. The employee is not at the end of the pay band. |
A recommendation for the QSI should be made on FHWA-1156 by the first level supervisor within 60 days of the end of the rating period. A copy of the approved performance appraisal should be attached. A narrative discussion of the performance, which clearly identifies the outstanding performance and explains why the performance is worthy of a QSI. NOTE: The description of performance on the appraisal form may be sufficient. Supervisors are reminded to consider this point when preparing the recommendation. All QSI recommendations must be approved by the appropriate Award Pool Managers. Due to monetary considerations, it may be necessary for the Office of Human Resources to issue a call for approved QSI's. |
OTHER SPECIAL FHWA AWARDS
Other Special FHWA Awards |
Who is Eligible? | Purpose of Award | Type of Recognition | Criteria | Nomination Procedures |
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Engineering Excellence Award |
Individuals, groups and teams
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This award recognizes outstanding engineering achievements by FHWA engineers or teams within the past three years. Three awards will be presented each year. One of the winners will be designated as the "FHWA Engineer of the Year" and may be nominated by FHWA for the National Society of Professional Engineers "Federal Engineer of the Year" |
The award consists of a plaque and a $1,000 cash award. These awards will be presented at a Washington Headquarters ceremony during National Engineers Week. |
The engineering excellence award winners will be selected by a panel of judges established by the Executive Director. This panel will base their selections on the significance of the engineering contribution to FHWA, the engineering profession, and the traveling public. Nominees will be ranked using a weighting of 60 percent for engineering achievement and 40 percent for education, professional honors, and contributions to the community. |
The Office of Human Resources will begin soliciting for nominations in mid-July. Nominations will be due to Washington Headquarters by September 1. |
Made a Difference Award |
GS-1 thru 8 clerical, technical and administrative support personnel. |
To recognize employees who are high achievers and leaders among their peers. |
A plaque and a $500 cash award.
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Employees must have a minimum of one year of appropriate experience. Nominations must provide specific examples of:
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Each Associate Administrator, the Acting Chief Counsel, Chief Financial Officer, the Resource Center Director and Operation Manager Director, and Division Engineers can approve two Made a Difference Awards a year. Division Administrators can approve one Made a Difference Award a year. First level supervisors can make nominations to the appropriate supervisor. Nominations should be submitted on FHWA 1156. |
Public Service Awards |
Private citizens |
To recognize the contributions of private citizens to the FHWA program. |
A plaque and a letter from the Federal Highway Administrator |
Description of the contributions that have benefited the FHWA. |
Managers may submit nominations at any time thru the Office of Human Resources to the Federal Highway Administrator. Nominations may be submitted on memo paper. |
Inventive Incentive Awards | All employees | To enhance employee morale and encourage high quality service. |
Items of an honorary nature that can be worn or displayed. Each item must bear an appropriate logo, which will allow others to know that the item is an award. Tickets to local sporting events or vouchers to local restaurants or movies may also be used as inventive incentives. All of these items may be awarded in combination with small amounts of cash.NOTE: Inventive incentives can only be purchased with GOE funds. The cash award allocation cannot be used to purchase recognition items! |
Each office can establish an inventive incentive program. Inventive incentive programs should be designed to honor an accomplishment or act of limited significance, which a supervisor would like to formally recognize. Examples of acts which can be recognized with an inventive incentive award are:
The recommendation should be made on the appropriate nomination form and should include a description of the accomplishment that is being recognized. A supervisor or co-worker through the appropriate supervisor may nominate any deserving employee observed performing a high quality act, which reflects favorably on FHWA. NOTE: Employees may not give awards to supervisors. Nominations should be forwarded to the appropriate approving official. Once approved, the nominating official should present the approved nomination and the award to the employee, preferably in the presence of the employee's peers. |
Unit Managers may delegate approval authority for inventive incentives to the lowest possible supervisory level. Once a program is established, a copy of the criteria should be forwarded to the Office of Human Resources, HAHR-23, for review and recording. |