Guide for Employee Recognition

In USDA, discrimination is prohibited on the bases of race, color, religion, sex, national origin, age (if 40 or over), disability, reprisal (for prior participation in an EEO activity or having opposed discrimination), political affiliation, sexual orientation, marital status, parental status, or genetic information. The Assistant Secretary for Civil Rights, through the Office of Civil Rights, investigates and resolves complaints of discrimination in USDA.

For additional information on filing a complaint of discrimination you may go to the website at http://www.ascr.usda.gov/complaint_filing_file.html

[Return to the USDA Home Page]
[Return to the USDA Departmental Administration Home Page]

[TOP]

Introduction to Employee Recognition Program

What is the goal of the USDA employee recognition program?

The Department's employee recognition program is designed to provide the means to recognize and reward individuals and groups for excellence in support of USDA's mission and goals.

All USDA employees are eligible for some form of recognition. This includes all full-time, part-time, and seasonal employees, regardless of appointment type. In addition, former employees whose contribution occurred when they were employed with USDA and private citizens who contributed to the mission of USDA or the Federal Government as a whole are eligible to receive recognition. Private citizens are eligible only for nonmonetary recognition.

What legal authorities govern recognition programs?

· Chapter 45, Title 5 United States Code (U.S.C.) and Code of Federal Regulations (CFR) Part 451 provide the authority to establish employee recognition programs.

· Regulatory requirements for performance recognition for General Schedule (GS) employees and prevailing rate employees are found in 5 CFR Part 430. Regulatory requirements for Quality Step Increases (QSI) for GS employees are found in 5 CFR Part 531.

· Regulatory requirements for Senior Executive Service Recognition are found in 5 CFR Part 451; Subpart C, 5 U.S.C. 5384; 5 U.S.C. 4502 through 4503; and 5 U.S.C. 4507 through 4508. Note: Access to the above U.S.C. and CFR references is located at http://www.gpoaccess.gov/cfr/index.html; http://www.gpoaccess.gov/uscode/index.html.

[TOP]

Responsibilities

What responsibilities do the USDA Office of Human Capital Management and Agencies have for administering the employee recognition program?

The Office of Human Capital Management (OHCM) will:

Provide policy guidance and training to Agencies about the employee recognition program.
Refer suggestions with Government-wide applicability to the Office of Personnel Management.
Establish and maintain a clearinghouse to disseminate innovative recognition practices.

Agency Heads will:

Ensure their recognition program is administered in accordance with established policies and regulations.
Ensure their employee recognition program is administered fairly.
Ensure that employees are informed of recognition policies and procedures.
Provide periodic training on the effective use of employee recognition.
Conduct annual reviews to ensure their recognition program is being used effectively.
Emphasize the importance of teamwork through recognition of groups.
Incorporate funding for recognition into the Agency budget planning process.
Use non-monetary recognition where appropriate.
Ensure that employee recognition is publicized.
Delegate recognition authority to the lowest level possible, consistent with the Secretary's policies and these guidelines.
Ensure timely processing of recognition awards.

What are Supervisors' and Managers' responsibilities?

Supervisors and Managers will:

Recognize employees for specific achievements.
Ensure recognition is distributed equitably and based on appropriate justification.
Consider input from appropriate sources when making recognition decisions.
Recognize contributions in a timely manner.
Emphasize the importance of teamwork through recognition of group accomplishments.
Use non-monetary recognition as an alternative to monetary awards for specific achievements or when monetary awards are not authorized (e.g. for private citizens).
Promote the recognition program by encouraging employee participation, arranging for appropriate presentations and periodically publicizing recognition activities.
Allow those recognized to choose the type of non-monetary recognition they receive when choices are possible.
Forward suggestions and inventions promptly to the appropriate party for evaluation.
Review nominations to ensure that recognition is linked to the contribution and that the award amount accurately reflects the value of the contribution.

What are Agency Recognition Coordinators’ responsibilities?

Agency Recognition Coordinators will:

Administer the recognition program based on policies and procedures outlined in this Guide.
Provide support and training to employees, supervisors, and managers.
Monitor program effectiveness.

[TOP]

Determining Appropriate Recognition

Who can recommend and approve recognition?

Any employee who believes an employee or private citizen has made a significant contribution may make a recommendation to the employee’s supervisor or agency official authorized to make nominations. A nominator should consider customer and coworker input where appropriate, in determining if an individual is deserving of recognition. Approval levels vary depending on the amount and type of award. Check your Agency’s authority delegations.

How do I determine which type of recognition is appropriate?

Read the sections in this Guide on non-monetary and monetary recognition to help you determine which type of recognition to give.

Is it appropriate to have customer/coworker involvement in the recognition recommendation process?

Yes. This is encouraged when practical. For example, information could be gathered from customer evaluation surveys, telephone contacts, etc. Also, coworker input could be valuable. Each Agency should consider implementing its own method for obtaining the information.

Can an employee be permitted to choose which type of recognition he or she prefers?

This determination is made at the discretion of the Agency. When it is permitted, employees should be given a specific option, such as a choice of available keepsake items.

Can I give recognition to a group of employees?

Yes. Group recognition is encouraged because it helps to foster teamwork and equity.

[TOP]

Publicity

Should employee recognition be publicized?

Yes. Publicity is an integral part of the recognition program. Supervisors and employees are encouraged to work together to publicize recognition events. You may wish to consider posting an announcement on a bulletin board or in an Agency newsletter. Recognition presentations are also recommended but they should normally be kept simple and held at the employee’s duty station.

How can I share our Agency's recognition program successes?

Agencies should inform OHCM of successful recognition program innovations. OHCM will act as a clearinghouse for such ideas so that other Agencies can benefit from them.

[TOP]

Definitions of Recognition Categories

What are the recognition categories? What are the different types in each category?

· Nonmonetary Extra Effort Awards - Recognition given for a specific outstanding accomplishment such as a superior contribution on a short-term assignment or project, an act of heroism, a scientific achievement, a major discovery, or work that resulted in significant cost savings. Nonmonetary extra effort awards include time off awards, keepsakes, letters of appreciation, and honorary awards.

· Monetary Extra Effort Awards - Recognition given for a particular accomplishment such as those defined above under nonmonetary recognition. Dollar amounts are determined by the contribution’s Value of Benefits and extent of its Application within the Department (See Measurable and Nonmeasurable Benefit Scales below). Nonmonetary recognition can be given in conjunction with monetary recognition, e.g., a plaque given in conjunction with a cash award. Monetary extra effort awards include extra effort (formerly called special act or service awards), spot awards, gainsharing, invention, and suggestion awards.

· Performance Bonuses - Monetary recognition is given for performance accomplishments over the course of the rating cycle, such as consistently high productivity or high quality work in relation to established performance standards. These include lump-sum performance bonuses (formerly called sustained superior performance awards) and QSIs.

Is there any special recognition for Senior Executive Service (SES) employees?

SES career employees are eligible for performance bonuses, Presidential Rank and Extra Effort Awards (excluding spot and time off awards).

SES non-career employees are eligible for Extra Effort Awards (excluding spot and time off awards).

[TOP]

Guidance and Procedures for Recognition Categories

Non-Monetary Extra Effort Awards

What kinds of nonmonetary recognition are available?

Nonmonetary recognition can take many forms including mementos, such as an engraved plaque, a framed certificate of appreciation, time off, a keepsake item, a letter of appreciation, a designation as "employee of the month," or a mention in an "honor roll" section of an employee newsletter.

What are the Secretary's Honor Awards? Who may receive this recognition?

The Secretary's Honor Awards are the most prestigious awards that USDA can present. Employees at all grade levels and private citizens are eligible. These awards are presented annually by the Secretary to individuals or groups for notable contributions to the Department's mission, the Nation or public service. (See Appendix A for Honor Awards categories.)

What kinds of keepsakes can be given as recognition?

Medals, certificates, plaques, citations, badges, pen-and-pencil sets, pins and coffee cups are types of keepsakes that can be presented as long as the item displays the Department's name and is suitable for display.

How much money may be spent on individual nonmonetary recognition?

Department policy limits the expenditure to no more than $250 on any one item, with the higher amounts normally reserved for high level honorary awards or other major accomplishments. Examples of honorary recognition are the Secretary's Honor Awards Program, the Agricultural Research Service’s Hall of Fame Award, and the Forest Service’s Chief's Honor Award.

Who can approve and what steps are necessary to approve nonmonetary awards?

Keepsake awards and time off awards must be approved using Form AD-287-2, in accordance with Agency incentive award policy.

How much time off should an employee receive as recognition?

The following chart should be used:

TIME OFF SCALE
VALUE OF THE EMPLOYEE'S CONTRIBUTION	HOURS TO BE AWARDED
*SMALL/MODERATE* - Contributions that helped to ease a backlog or completion of a special project that benefited primarily the employee's home office.	1 - 10 Hours
*MODERATE/SUBSTANTIAL* - Contributions that helped an entire division, region, or other large geographic area.	11 - 40 Hours

NOTE: An employee may not be granted more than 80 hours in time off awards in a leave year. SES employees are not eligible for time off awards.

[TOP]

Guidance and Procedures for Recognition Categories

Monetary Extra Effort Awards

What kinds of monetary recognition are available?

Monetary recognition can take the form of spot awards, extra effort awards (formerly special act or service awards), gainsharing, suggestion and invention awards.

What are the steps involved in recommending and approving monetary recognition?

Monetary recognition must be approved at a management level higher than that of the recommending individual. Recommendations are submitted and approved on Form AD-287-2. All monetary awards require written justification. The Secretary approves monetary recognition for SES employees.

How do I determine the amount of the monetary recognition to recommend?

Whenever possible, nominators should determine if the contribution can be measured in terms of time saved, money saved or expenditures avoided by using the following Measurable Benefits Scale. If the contribution cannot be measured this precisely, the nominator should determine the award amount by weighing the Value of Benefits and the Application as shown in the following Nonmeasurable Benefits Scale.

When a team or a group of employees receives monetary recognition, the amount given to each group member may be different. In such cases, the nominator can recommend how much each group member should receive based on their individual contribution.

*MEASURABLE BENEFITS SCALE*
Benefit	Award
Up to $10,000	10 percent of the benefits
$10,001-$100,000	$1,000 for the first $10,000 in benefits, plus 3 percent of benefits over $10,000
$100,001 or more	$3,700 for the first $100,000 in benefits plus .005 of benefits over $100,000. Award amount should not exceed recipient's annual salary.*

NOTE: *All recognition for individuals or an individual as a member of a group up to $5,500 per person requires approval from the appropriate Under or Assistant Secretary or Staff Director. The Secretary of Agriculture approves all awards in excess of $5,500 and not greater than $10,000, and all SES awards. Awards in excess of $10,000 per individual must be approved by the Office of Personnel Management. Awards in excess of $25,000 require Presidential approval.

[TOP]

NONMEASURABLE BENEFITS SCALE
Value of Benefits	Application
	Limited	Broad	General
	Impacts the public interest, or a specific small work unit including a division or region.	Impacts the public interest, or several regional areas or an entire agency.	Impacts the public interest, or more than one agency, or the entire Department.
Small/Moderate	$50-$325	$325-$650	$650-$1300
Moderate/Substantial	$325-$650	$650-$1300	$1300-$3150
Substantial/Extended	$1000-$2500	$2500-$5500	$5500-$10,000

NOTE: Agencies may refine these definitions to fit the needs of the organization.

What is a Spot Award?

Spot awards allow supervisors and other individuals to grant employees (as individuals or in groups) immediate monetary recognition for extra efforts that warrant small awards. Spot awards are considered small to moderate in Value of Benefits and limited to general in Application.

Awards may range in value from $50 to $750 (in any dollar amount) with no award amount exceeding $750. Employees may receive more than one spot award within a one-year period. When determining award amounts refer to the Nonmeasurable Benefits Scale.

There is no ceiling on the total amount of any group spot award. However, the award amount for each group member may not exceed $750.

Usually, the contributions recognized will have been completed within a period of 4 to 6 weeks or less. Recognition should be made within 3 work days, but not later than 30 days after completion of the accomplishment. Spot awards are approved or disapproved at a management level higher than that of the recommending individual.

What is an Extra Effort Award?

Extra Effort Awards recognize individuals or groups who make significant one-time contributions (e.g., special project, task force, etc.) to the Agency's or the Department's mission or goals. The award amount can range from $50 to more than $10,000, depending on the Value of Benefits and Application of the contribution to the Government.

Does USDA have an employee suggestion or invention recognition program?

Yes. Employees may be recognized for the approval of written suggestions or development of inventions that improve the efficiency or effectiveness of Government operations. Employees may be recognized for their suggestions and inventions on a monetary or a nonmonetary basis. For more detailed information regarding suggestion or invention programs contact your Agency's Recognition Coordinator. Employees may also refer to the "Employee Suggestion Program Brochure" at http://www.usda.gov/da/employ/websuggestionbrochure.htm

What is gainsharing?

Under this program, a portion of savings resulting from gains earned by an organization through improved quality, more efficient use of resources and process improvement is distributed to employees. For more detailed information regarding gainsharing contact your Agency's Recognition Coordinator.

[TOP]

Performance Bonuses

What is a performance bonus?

A performance bonus is monetary recognition given to an employee for overall accomplishments achieved during their normal day-to-day duties in relation to established performance standards.

Employees can demonstrate this in many ways, for example, regularly demonstrates high work output, consistently completes work products of high quality, or provides exceptionally prompt and courteous service to customers, clients and coworkers.

What kinds of performance bonuses are available?

There are two kinds: (1) lump-sum performance bonus (formerly sustained superior performance awards); and (2) QSI, an extra step increase.

What type of justification is required for a performance bonus?

Supervisors are required to provide written documentation of performance accomplishments for summary ratings. If a performance bonus is granted to an employee, the accomplishment write-up must be supplemented by a written justification for the award.

How much money can be awarded in a lump-sum performance bonus?

Use the Measurable Benefits Scale and Nonmeasurable Benefits Scale listed in the Monetary Extra Effort awards section, but note that a lump-sum performance bonus cannot exceed 10 percent of an employee's annual salary.

Is everyone eligible for lump-sum performance bonuses?

No. Noncareer SES employees are not eligible. However, Career SES employees are eligible.

What level of performance is required for a lump-sum performance bonus?

Employees must receive at least a fully successful on their summary rating.

When should I give a lump-sum performance bonus?

Generally these should be given within 90 days of the end of the performance cycle.

What level of performance is required for a QSI?

Employees must receive an outstanding summary rating.

Does a QSI require a justification?

Yes. The written documentation of performance accomplishments for an outstanding performance rating is sufficient.

Who is not eligible for a QSI?

SES and wage-grade employees are not eligible for QSIs.

Can I give a QSI or a lump-sum payment to an employee who received one this year?

No. Only employees who have not received a QSI or lump-sum payment in the last 52 weeks are eligible.

What are the advantages of performance bonuses?

Performance bonuses are significant forms of recognition because they encourage employees to continue to excel in the manner in which they carry out their duties and responsibilities.

What should be done if there are funds for only a few performance bonuses?

In these circumstances, consideration should be given to smaller monetary recognition amounts to equally deserving employees.

[TOP]

Preparing Justifications

When is it necessary to prepare a narrative justification in addition to an AD-287-2?

A justification must be prepared for all monetary recognition and time off awards. (Appendix B identifies helpful hints on how to write a justification).

Reporting Requirements

What are the requirements for recognition reports?

In order to effectively monitor the Department's recognition program each Mission Area/Agency will provide information and reports to OHCM concerning the operation of their programs.

[TOP]

Appendix A - USDA Secretary's Honor Awards Categories

1. Enhancing Economic Opportunities for Agricultural Producers

This category recognizes contributions which support expanding markets for agricultural products which are critical to the long-term economic health and prosperity of our food and agricultural sector. United States (US) farmers have a wealth of natural resources, cutting edge technologies, and a supporting infrastructure that result in a production capacity beyond domestic needs. This capacity can be used in expanding global markets and in the development of new uses for agriculture in industrial and pharmaceutical markets.

2. Supporting Increased Economic Opportunities and Improved Quality of Life in Rural Areas

This category recognizes contributions which support the enhancement of Rural America (RA), which is home to one fifth of the Nation's population, and is a collage of people and economic activity. Seven out of eight rural counties are now dominated by varying mixes of manufacturing, services, and other non-farming activities. While the majority of rural residents are not dependent on agriculture for their income, many small family farmers rely on local, off-farm employment to supplement their farm income.

3. Enhancing Protection and Safety of the Nation's Agriculture and Food Supply

This category recognizes contributions which support USDA's unique and critical responsibilities to help ensure the safety of the US food and fiber supply chain and the security of the US agricultural production system. The Department will continue to assess current systems and develop countermeasures against threats to farms and ranches, in coordination with the private sector, other Federal agencies, and State governments. Research programs are essential to an effective US agricultural biosecurity program to develop methods of early detection, rapid and accurate assessment, and immediate responses that prevent spread and control harmful agents. USDA facilities and operations must also be secure from external and internal threats.

4. Improving the Nation's Nutrition and Health

This category recognizes commitment by endorsing America's health through food and nutrition education, guidance and promotion to the general public and to targeted groups. We teach, inform and motivate Americans to use this information to improve their diets and physical activity patterns. We expand research and scientific knowledge about public health. By promoting better diets, reaching children early and ensuring access to healthy food, we make a major contribution to the Nation's health.

5. Protecting and Enhancing the Nation's Natural Resource Base and Environment

The category recognizes contributions supporting the management of our natural resources, both public and private, which is a continual balancing act between sometimes contrary and competing concerns. In maintaining this balance, it is imperative that a portfolio approach be utilized that incorporates various conservation management tools including technical assistance, cost-share, incentive, land retirement, easement and regulatory assistance programs. In ensuring these program funds are spent effectively and leveraged wisely, continued and increased cooperation with State, local, and Tribal governments, as well as private for-profit and not-for-profit partner organizations is needed.

6. Supporting the President's Management Agenda and Civil Rights

This category recognizes individuals who demonstrate a commitment by working to strengthen USDA's management through vigorous execution of the President's Management Agenda. Better management will result in more efficient program operations that offer improved customer service and more effective stewardship of taxpayer funds. This goal may be accomplished by:

· Ensuring an efficient, high-performing, diverse, competitively sourced workforce, aligned with mission priorities and working cooperatively with USDA partners and the private sector.

· Enhancing internal controls, data integrity, management information, and program and policy improvements as reflected by an unqualified audit opinion and a reduction of erroneous payments by USDA programs.

· Implementing business processes and information technology needed to make our services available electronically.

· Linking budget decisions and program priorities more closely with program performance, and recognizing the full cost of programs.

7. Heroism and Emergency Response

This category recognizes USDA employees who perform acts of unusual selflessness or heroism in the line of duty. This category also recognizes those who demonstrate an outstanding level of accomplishment in responding to floods, fires, storms, earthquakes, disease outbreaks, or other conditions requiring emergency response.

[TOP]

Appendix B - Justification Outline

1. During the period of (give time of performance), (individual/group) did what. Beginning paragraph should start with this sentence.

2. This exceeded expected performance as identified in the current position description by:

o Improving quality

o Timely completion of the project

o Increasing productivity

o Overcoming adverse obstacles or working under unusual circumstances

o Using unusual creativity

o Saving the Government time and/or money

o Increasing program effectiveness

3. As a result:

o Project acceptance

o Savings in time, money, and/or material

o More efficiency

o Effectiveness

o Technological advancement

o Productivity increase

o Improved levels of cooperation

4. Therefore, we propose an award of (amount/hours) which has been calculated using the (Measurable Benefits/Nonmeasurable Benefits/Time Off Scales.)

o If based on measurable benefits, enter the expected Benefit to the organization.

o If based on nonmeasurable benefits, enter the Value of Benefits and the Application.

[TOP]

[Return to the USDA Home Page]

[Return to the USDA Departmental Administration Home Page]

Introduction to Employee Recognition Program

What is the goal of the USDA employee recognition program?

The Department's employee recognition program is designed to provide the means to recognize and reward individuals and groups for excellence in support of USDA's mission and goals.

What legal authorities govern recognition programs?

· Chapter 45, Title 5 United States Code (U.S.C.) and Code of Federal Regulations (CFR) Part 451 provide the authority to establish employee recognition programs.

· Regulatory requirements for performance recognition for General Schedule (GS) employees and prevailing rate employees are found in 5 CFR Part 430. Regulatory requirements for Quality Step Increases (QSI) for GS employees are found in 5 CFR Part 531.

Responsibilities

What responsibilities do the USDA Office of Human Capital Management and Agencies have for administering the employee recognition program?

Determining Appropriate Recognition

Who can recommend and approve recognition?

Publicity

Should employee recognition be publicized?

How can I share our Agency's recognition program successes?

Definitions of Recognition Categories

Guidance and Procedures for Recognition Categories

Non-Monetary Extra Effort Awards

Nonmonetary recognition can take many forms including mementos, such as an engraved plaque, a framed certificate of appreciation, time off, a keepsake item, a letter of appreciation, a designation as "employee of the month," or a mention in an "honor roll" section of an employee newsletter.

Guidance and Procedures for Recognition Categories

Monetary Extra Effort Awards

What kinds of monetary recognition are available?

Monetary recognition can take the form of spot awards, extra effort awards (formerly special act or service awards), gainsharing, suggestion and invention awards.

Impacts the public interest, or more than one agency, or the entire Department.

Small/Moderate

$50-$325

$325-$650

$650-$1300

Moderate/Substantial

$325-$650

$650-$1300

$1300-$3150

Substantial/Extended

$1000-$2500

$2500-$5500

NOTE: Agencies may refine these definitions to fit the needs of the organization.

What is an Extra Effort Award?

Performance Bonuses

What is a performance bonus?

A performance bonus is monetary recognition given to an employee for overall accomplishments achieved during their normal day-to-day duties in relation to established performance standards.

What kinds of performance bonuses are available?

Preparing Justifications

Reporting Requirements

What are the requirements for recognition reports?

Appendix A - USDA Secretary's Honor Awards Categories

2. Supporting Increased Economic Opportunities and Improved Quality of Life in Rural Areas

3. Enhancing Protection and Safety of the Nation's Agriculture and Food Supply

4. Improving the Nation's Nutrition and Health

5. Protecting and Enhancing the Nation's Natural Resource Base and Environment

6. Supporting the President's Management Agenda and Civil Rights

· Ensuring an efficient, high-performing, diverse, competitively sourced workforce, aligned with mission priorities and working cooperatively with USDA partners and the private sector.

· Enhancing internal controls, data integrity, management information, and program and policy improvements as reflected by an unqualified audit opinion and a reduction of erroneous payments by USDA programs.

· Implementing business processes and information technology needed to make our services available electronically.

· Linking budget decisions and program priorities more closely with program performance, and recognizing the full cost of programs.

Appendix B - Justification Outline

o Improving quality

o Timely completion of the project

o Increasing productivity

o Overcoming adverse obstacles or working under unusual circumstances

o Using unusual creativity

o Saving the Government time and/or money

o Increasing program effectiveness

o Project acceptance

o Savings in time, money, and/or material

o More efficiency

o Effectiveness

o Technological advancement

o Productivity increase

o Improved levels of cooperation

o If based on measurable benefits, enter the expected Benefit to the organization.

o If based on nonmeasurable benefits, enter the Value of Benefits and the Application.