NAO 202-451

NOAA INCENTIVE AWARDS PROGRAM

 APPENDICES

[Top of Page] APPENDIX A

SAMPLE INCENTIVE AWARD PROGRAM PLAN

LO AWARDS IMPLEMENTATION PLAN

While the two-level performance management program requires at least three meetings between supervisors and employees, LO/SO/PO encourages more frequent feedback. In today's environment of restricted resources and expectations for higher productivity, frequent feedback and coaching is in keeping with the spirit of the two-level performance system, and affords the interaction between supervisors and employees necessary to support the timely recognition of employees for their accomplishments. Managers/supervisors are encouraged through this frequent contact to "accentuate the positive" by recognizing and rewarding achievements.

REFERENCES:

The LO/SO/PO awards implementation plan is a supplement to the NOAA Administrative Order 202-451, NOAA Incentive Awards Program.

GUIDELINES:

Recognition will be non-discriminately granted based on the high-level performance of employees or on the value of their contribution to the Federal government, with consideration given also to the degree the performance contributes to overall mission accomplishment, and where a direct connection can be made, to the quarterly accomplishments associated with annual operating plans. Each Financial Management Center will ensure adequate administrative support is available to provide appropriate publicity of award activity, arrange for certificates, plaques, etc. All managers/supervisors will ensure the award record keeping is in conformance with the procedural instructions contained in the NAO, including the provision that performance related documents are retained in a secured location.

MONETARY AWARD POOLS:

The LO/SO/PO allocates 1.5 percent of its salary and benefits costs to the awarding of monetary awards. Each program/staff office within LO/SO/PO will also allocate 1.5 percent of salary and benefits towards granting monetary awards.

NOTE: This sample plan allocates l.5 percent for awards; however, the amount allocated is discretionary and will be determined by each LO/SO/PO.

AWARDS UTILIZED IN LO/SO/PO:
 

AWARD DELEGATIONS:

Monetary Awards:

Awards in excess of $5000 will be approved in accordance with the provisions of Section 4.01(e) of the NAO 202-451.

Cash awards up to $5,000 must be approved by the AA. The AA further delegates that authority to Office and/or Division Directors for Special Act awards.

Non-Monetary and Honorary Awards:

Authority to approve time-off awards up to one full duty day is redelegated to leave approving officials. For greater periods of time, review and approval by the next higher-level management official is required.

Authority for Unit Citation approval is redelegated to the Division Chief level.

Use of Personnel Management Advisory Council (PMAC) or Awards Advisory Board:

All awards that are subject to AA approval must be forwarded for review and recommendation by the PMAC. For award purposes, the PMAC determines whether award proposals are adequately documented, and monitors whether there is equitable consideration in awards across grade levels, organizations, occupations, and demographic groupings. The PMAC membership consists of: the AA or Deputy AA, PO/SO Directors, and the Directors, SHRO, or their designees.

At least annually, the PMAC will also convene to conduct a post-audit review of award utilization within the (LO/SO/PO). Based on data provided by the human resources office, the PMAC will review the types of awards utilized, and the distribution of funding across program/staff offices. The PMAC will report its findings to the Assistant Administrator.

LO/SO/PO MODIFICATIONS:

CIYA Award: Because recipients will no longer actually receive cash at the time of recognition, employees may be presented with a certificate for CIYA.

AWARD PRESENTATION GUIDELINES:

In general, awards will be presented at the level at which awards were approved; in appropriate ceremonies which include members of the recipients' organizations.

In the case of field offices, the award presentations can be accomplished by representatives of the approving officials.

Presentations for CIYA and On-The-Spot awards may be made during the course of a regular Division staff meeting. Special Act and Superior Accomplishment award presentations may be made at the Division level for awards not in excess of $500, again during staff meetings, or at special Division meetings at which the employees of the recipients' organizations are present. For award amounts in excess of $500 and up to $2,500, presentations should be at the Program Director's level at special meetings at which the employees of the recipients' organizations are present. Presentations for awards in excess of $2,500 should be made at the DAA/AA level at all-hands meetings, or special public meetings in which the employees of the recipients' organizations are present.

NOTE: These are sample guidelines for award presentations. Awards may be presented at the levels each LO/SO/PO feels appropriate.

[Top of Page] APPENDIX B

Table 2. SCALE OF RECOMMENDED AWARD AMOUNTS

BASED ON INTANGIBLE BENEFITS

[Top of Page] APPENDIX C

TABLE 2. SCALE OF RECOMMENDED AWARD AMOUNTS

BASED ON TANGIBLE BENEFITS

[Top of Page] APPENDIX D

CASH-IN-YOUR-ACCOUNT AWARD PROGRAM

of the

National Oceanic and Atmospheric Administration

 
In accordance with DOC Personnel Bulletin 451-1, Revision 3, (Attachment 1) Section 13.02, Cash-in-a-Flash Award Program, dated February 12, 1999, the following is the NOAA variation of the DOC plan, for implementation.

SECTION 1. ELIGIBILITY.

NOAA employees covered by the National Finance Center (NFC)system, except those in the Senior Executive Service, are eligible for the Cash-in-your-account (CIYA) award. Individuals and groups are eligible under this program. NOAA Corp officers are not eligible.

SECTION 2. DELEGATION OF AUTHORITY.

AAs and NOAA SO/PO Directors must designate in writing the management officials who may recommend and approve awards under this program. Officials are held accountable for ensuring that individual awards correspond to the authorized incremental amounts and the total dollar amount granted a nominee does not exceed $1,000 in a single calendar year. (Cumulative amounts should be tracked by individual supervisors; however, they may be verified through the Human Resources Data System [HRDS].)

SECTION 3. AWARD PROCEDURES.

a. Recommending officials prepare and sign Form CD-326, "Recommendation for Recognition," which includes a brief justification of 10 lines or less, and obtains appropriate approval. A Form CD-326 must be completed for all employees receiving awards.
 
b. A copy of the approved Form CD-326 is transmitted to the Servicing Finance Office for processing, which will result in the award monies being deposited directly into the employees' bank accounts within 72 hours from the time the requests are received. For those employees who still do not have direct deposit of their salaries, the award monies will be mailed to the addresses where they receive their salary checks. When possible, the Finance Office will transmit automated e-mails to notify the supervisors that the awards have been processed for disbursement.
 
c. The Finance Office will mark the CIYA award as being paid and FAX a marked copy of the CD-326 to the Servicing Human Resources Office (SHRO) for input into the personnel/payroll system.
 
d. Employees' supervisors retain the original of Form CD-326, with all appropriate signatures, in employees' performance folders.

e. SHROs enter the award transactions into the NFC Finance Center system after receipt of the record from the Finance Office. Timely data entry will ensure that employees' tax information is correct, and that awards appear as open items on no more than one Finance Office reconciliation report.

SECTION 4. RECONCILIATION PROCEDURES. 

The Finance Office and SHRO are jointly responsible for the reconciliation of award payments.
 
a. The Servicing Finance Offices will review the Monthly Activity Report of CIYA Awards Outstanding Transactions to determine if a payment has been recorded improperly.
 
b. The Servicing Finance Offices will forward the report to the SHRO. The Finance Office will send a copy of the report to the Director, Human Resources Management Office.
 
c. The SHRO is responsible for reconciling any discrepancies and assuring either that: (a) a proper action is entered into the NFC system for every relevant transaction; or (b) appropriate action is taken to correct misuse or abuse of the process.

[Top of Page] APPENDIX E

 NOAA Technology Transfer Award

SECTION 1. PURPOSE.

The purpose of this award is to recognize NOAA scientific, engineering, and technical employees for: (1) inventions or other outstanding scientific or technological contributions of value to the United States due to commercial applications and (2) exemplary activities that promote the domestic transfer of science and technology developed within NOAA and result in the use of such science and technology by American industry or business, universities, State or local Government, or other non-Federal parties.
 
This award responds to the requirement of Section 13 of the Federal Technology Transfer Act of 1986 (P.L. 99-502).

SECTION 2. ELIGIBILITY. 

NOAA scientific, engineering, and technical personnel, including personnel in research management positions, are eligible for this award. Former NOAA employees whose contribution(s) were made during employment with NOAA are also eligible. Employees in administrative positions are not eligible. The award may be given to groups as well as individuals.
 
a. Inventions, innovations, or other outstanding contributions leading to commercial applications of NOAA research and development. Achievements under this criterion include, but are not limited to:
 
(1) the early recognition of potential commercial applications of NOAA R&D;
 
(2) submission of invention disclosures that result in patent applications, and;
 
(3) the successful negotiation of Cooperative Research and Development Agreements.
 
b. Exemplary activities that lead to the use of NOAA R&D to increase productivity in American industry or business, universities, State or local Governments, or other Federal agencies. Achievements under this criterion include, but are not limited to:

(1) the transfer of NOAA-developed software;
 
(2) providing training for data interpretation, analysis and prediction techniques; and/or
 
(3) providing assistance through personnel exchanges and/or the use of NOAA unique facilities.

SECTION 3. SELECTION FACTORS.

The following factors are to be considered as evidence that the award is deserved:
 
a. the scope, difficulty, or uniqueness of the contribution or activity;
 
b. individual initiative or creativity and quality of the contribution or activity;
 
c. technical benefits to United States industry, business, universities, state or local governments, or other Federal agencies;
 
d. recognition of the achievement by organizations other than NOAA;
 
e. commercial adaptation or further utilization of the NOAA invention, innovation, or contribution; and
 
f. contributions leading to successful licensing or successful negotiation of Cooperative Research and Development Agreements.
 
The achievement must have taken place within 3 years of the nomination. The nominee must not have received a NOAA Technology Transfer Award in the three previous years.

SECTION 4. NOMINATION PROCEDURES.

Request for nominations will be sent out by HRMO each year. Nominations may be initiated by any NOAA employee with the approval of the nominee's supervisor, the director of the nominee's laboratory/ program, and by the AA or NOAA Staff Office Director of the nominee's organization. Employees may not nominate their supervisor.
 
Nominations must be typed and describe clearly the specific accomplishment; initiative of the nominee; the degree and significance of tangible benefits to industry, business, universities, State or local Government, or other non-Federal parties; the circumstances that made this a unique process; and how the nominee participated during each step of the effort.
 
Nominations will be submitted on a CD-326, "Recommendation for Recognition." Nominations should be no more than two pages in length. The nomination must include a certificate citation not to exceed 20 words.

SECTION 5. SELECTION PROCEDURES.

The following procedure will be followed during the selection review process:
 
a. Nominations will be submitted to the NOAA HRMO. The NOAA IAP Officer will review the nominations for basic eligibility.
 
b. Eligible nominations will be forwarded to the Technology Transfer working group. The Technology Transfer working group shall consist of:

(1) Chief, Office of Research and Technology Applications - Chairman
 
(2) Representative from each NOAA LO/SO/PO
 
(3) NOAA Incentive Awards Officer, Executive Secretary

c. The Technology Transfer working group will meet, review all eligible submissions, and forward their recommendation to the Under Secretary for Oceans and Atmosphere.
 
d. The Under Secretary will make the final selection.

SECTION 6. THE AWARD.

A cash award of $2,500 will be given, as well as a certificate signed by the Under Secretary for Oceans and Atmosphere. The maximum number of awards is one per year, but if no outstanding candidate is nominated, no award need be made.