Human Resources Manual HHS Instructions 451-1

Material Transmitted:
Department of Health and Human Services Awards Program Policy update, dated January, 2010.

Material Superseded:
Department of Health and Human Services Instruction 451-1, dated August 30, 1996.

Background:
Consistent with continuous improvement initiatives, this Instruction has been revised to better
recognize the contributions of HHS employees. The Instruction is established under the authority of
regulations issued by the Office of Personnel Management (OPM) and found at Title 5, Code of
Federal Regulations, Part 451, Incentive Awards.

The Instruction clarifies the roles and responsibilities for OPDIV Heads, Members of the
Departmental Awards Board, Managers, Supervisors, Human Resource Centers, and OPDIV Awards
Coordinators. This guidance is beneficial in recognizing employees who have performed their duties
in an exceptional manner.

This issuance is effective immediately. Implementation of this issuance must be carried out in
accordance with applicable laws, regulations and collective bargaining agreements.

/Denise L. Wells/

Denise L. Wells

Deputy Assistant Secretary for

Human Resources
Department of Health and Human Services
1
 Health and Human Services Awards Program

Table of Contents

References Page 2

Purpose Page 2

Applicability Page 2

Definitions Page 2

Policy Page 3

Guiding Principles Page 4

Responsibilities Page 5

The Assistant Secretary for Administration (ASA) Page 5

The Heads of Operating Divisions (OPDIV) Page 5
The Departmental Awards Board Page 6
The Human Resource Centers Page 7
The Operating Division Incentive Awards Program Coordinators Page 7
Managers and Supervisors Page 8

Definitions Page 12

Categories of Recognition Page 14

A. Presidential Awards Page 14

B. Departmental Awards Page 23

(1) Secretary’s Award for Distinguished Service Page 23

(2) Secretary’s Award for Meritorious Service Page 23
(3) HHS Distinguished Public Service Award Page 23
(4) HHS Award for Excellence in Management Page 23
(5) Hubert H. Humphrey Award for Service to America Page 24
(6) Career Achievement Award Page 24
(7) Secretary’s Recognition Award Page 24
(8) Secretary’s Special Citation Page 24
(9) Secretary’s Certificate of Appreciation Page 24
(10) Secretary’s Letter of Appreciation Page 25

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 C. Superior Accomplishment Awards Page 28

Superior Service Award Page 28

(1) Special Act or Service Page 28

(2) Suggestions Page 28
(3) Inventions Page 32

D. Time Off Awards Page 34

E. Non-HHS Awards Page 35

F. Length of Service Recognition Page 37

G. Retirement Recognition Page 38

– Award Forms

Exhibit 1 - Presidential Rank Award Preliminary Nomination Page 21

Summary Sheet

Exhibit 2 - Employee Suggestion Form (HHS-170)

http://intranet.hhs.gov/hr/ohr/forms/hhs_forms/hhs-170_508re.pdf

Exhibit 3 - Guidelines for Evaluating Employee Suggestions Page 39

Exhibit 4 - Recommendation for Cash Award (HHS-171)

http://intranet.hhs.gov/hr/ohr/forms/hhs_forms/hhs-171.pdf

Exhibit 5 - Suggestion Evaluation Report Page 44

Exhibit 6 - Scale of Awards Based on Tangible Benefits Page 45

Exhibit 7 - Scale of Awards Based on Intangible Benefits Page 46

Exhibit 8 - Annual Non-HHS Awards Planning Calendar Page 47

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Subject: HHS Awards Programs

References: (a) 5 U.S. Code 43 and 45

(b) 5 CFR, Part 451, “Awards”
(c) 45 CFR, Part 6, “Inventions and Patents”
(d) 45 CFR, Part 7, “Employee Inventions”
(e) General Administration Manual Chapter 6-10, “Employee Inventions”

1. PURPOSE

This Manual:

1.1 Prescribes policy and procedures governing the HHS Awards Program.

1.2 Provides management with the guidance needed in recognizing employees who
have performed their duties in an exceptional manner.

2. APPLICABILITY

HHS Instruction 451-1 applies to:

2.1 All Department employees.

2.2 Former employees and legal heirs or estates of deceased employees are
eligible for awards for contributions made during Government employment
with this Department.

2.3 Non-Federal individuals or employees of other Federal agencies are eligible

for HHS awards. (Non-Federal individuals are not eligible for monetary
awards.)

NOTE: This Instruction does not cover performance awards based on ratings
of record.

3. DEFINITIONS

Terms used in this instruction are defined in Appendix A.

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4. POLICY

4.1 It is the policy of this Department to establish and maintain effective

Awards Programs and to encourage the use of incentive awards as a
management tool to recognize and reward HHS employees.

4.2 All awards shall be justified in writing. The justification shall include
qualitative or quantitative measures to demonstrate the contribution for which the
award is being given.

4.3 Employees in the Senior Executive Service (SES), Senior Level (SL), and
scientific or professional (ST) are not eligible for incentive awards.

4.4 Acceptance of a monetary award constitutes an agreement that the use by

the Government of an idea, method, or device for which the award is made does
not form the basis of a further claim of any nature against the Government by the
employee, his or her heirs, or assigns.

4.5 Expenditures for superior accomplishment, special act or service, and

performance awards for employees who are assigned permanently, and/or
on detail from other organizations shall be paid from, and not exceed, the
Operating Division’s (OPDIV) annual awards budget allocation.

4.6 Either one monetary award or a time-off award may be granted to an employee
for a contribution. A single contribution shall not serve as the basis for more than
one monetary award (including a performance award or bonus) or for a monetary
award and a time-off award. The supervisor may agree to convert a cash award
amount into time-off equivalent and any remaining cash balance will
be paid out in cash.

4.7 OPDIV Heads may delegate approval authority for awards over which they have
authority except those reserved by the Secretary as described in this or any
other HHS documents.

4.8 Persons or organizations having a commercial or profitmaking relationship with

the Department of Health and Human Services shall not be granted recognition,
unless the contribution is substantially beyond that specified or implied within the
terms of the contract establishing the relationship, or the recognition is clearly in
the public interest, in which case the recognition shall be honorary only.

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5. GUIDING PRINCIPLES

The Honor Awards Program is designed to:

5.1 Ensure that recognition is in keeping with the values of the employees
contribution.

5.2 Ensure that maximum benefits for the Government are obtained by
considering the applicability of employee contributions throughout the
Federal Government.

5.3 Ensure that awards are not used as a substitute for other personnel actions or as a
substitute for pay.

5.4 Ensure that awards are used to motivate, recognize, and reward eligible personnel
as individuals or groups for contributions to the efficiency, economy, or other
improvements in Government operations.

5.5 Ensure that due weight is given to awards when qualifying and selecting an
employee for promotion and that all approved award recommendations are
documented.

5.6 Ensure that awards are used to the extent that shall best support and enhance
organizational goals and objectives and meet employee recognition needs.

5.7 Ensure that supervisory and management officials are trained properly
in the effective use of awards covered by HHS Instruction 451.

5.8 Ensure that awards shall be granted consistent with Equal Employment
Employment Opportunity and Affirmative Employment Program policies
and shall be free from discrimination regardless of race, color, religion, age,
sex, national origin, or disability.

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6. RESPONSIBILITIES

6.1 The Assistant Secretary for Administration (ASA) is

responsible for Department-wide administration of the Awards Program
including:

6.1.1 Providing central direction to and coordinating the program.

6.1.2 Developing and promulgating the Department’s policies and

procedures for the program.

6.1.3 Submitting to the Office of Personnel Management (OPM) for review and
approval all award recommendations over $10,000.

6.1.4 Providing liaison between the Department and OPM.

6.1.5 Referring and processing HHS and interdepartmental suggestions for

wider application.

6.1.6 Reviewing unresolved OPDIV/STAFFDIV suggestion cases and

determining final decisions.

6.1.7 Arranging and coordinating the Department’s Annual Honor Awards

Ceremony.

6.1.8 Chairing the Departmental Awards Board and providing an Executive

Secretary to the Board.

6.1.9 Evaluating the effectiveness of the program throughout the Department,

when necessary, making or recommending changes to improve
effectiveness.

6.2 The Operating Division (OPDIV) Heads are responsible for:

6.2.1 Developing policies and procedures that are consistent with this HHS
Instruction and does not conflict with the OPDIV Collective Bargaining
Agreements.

6.2.2 Designating for their respective areas of responsibility, an Incentive

Awards and Suggestion Coordinator to maintain liaison with
management officials and the Executive Secretary of the
Departmental Awards Board.

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 6.2.3 Ensuring that incentive awards are technically reviewed and approved by
an OPDIV Awards Coordinator.

6.2.4 Ensuring that adequate funds are available for payment of awards.

6.2.5 Providing financial resources and adequate staff to support the

awards program.

6.2.6 Appointing an Awards Board, which is representative of the organization,

with such functions as:

a. Reviewing recommendations for cash and honor awards which are

competitive in nature

b. Advising on difficult or controversial cases

c. Reviewing program evaluations and recommending changes as

needed

6.2.7 Evaluating the awards program and making changes as needed.

6.2.8 Providing training and orientation for supervisors, managers, employees,

and award coordinators to acquaint them with the awards program.

6.3 The Departmental Awards Board is appointed by the Secretary, based upon
recommendations from the Chair of the Board and the Deputy Secretary and
serves for an indefinite period of time.

The Board members are expected to personally review all award nominations
referred to the Secretary, but may seek advice and assistance in this task from
members of their immediate staff. When a Board member cannot perform any or
all of his or her functions, arrangements should be made for an alternate to do so.
A full review by the Board is required for all award recommendations referred
to the Secretary. There must be a quorum, at least six Board members, when
voting on awards. Majority votes rule unless the dissenting vote comes from
the OPDIV Head. In some instances, the Board members may be polled
independently for a vote by the Executive Secretary of the Board.

6.3.1 The Departmental Awards Board shall:

6.3.1(a) Review all nominations for cash awards exceeding $10,000.

6.3.1(b) Review all Department-level honor awards referred to the

Secretary.

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 6.3.1(c) Review all non-HHS awards referred to the Secretary by various
organizations outside the Department.

6.3.2 The Board membership is comprised of the following:

Chair Assistant Secretary for Administration

Vice Chair Deputy Assistant Secretary for Human Resources

Members Administrator, Centers for Medicare & Medicaid Services

Administrator, Health Resources and Services Administration
Administrator, Substance Abuse and Mental Health Services
Administration
Assistant Secretary for Children and Families
Assistant Secretary for Aging
Commissioner of Food and Drugs
Director, Centers for Disease Control and Prevention
Director, Indian Health Service
Director, National Institutes of Health
Director, Agency for Healthcare Research and Quality

Ex-Officio Inspector General

Associate General Counsel (Ethics Division)
Director, Office of Diversity Management and Equal Employment
Opportunity

Executive
Secretary HHS Awards Program Coordinator, OHR

The ex-officio members of the Board are appointed to ensure the Department’s
Awards Program maintains integrity, regulatory compliance, and represents the
diversity of the Department.

6.4 The Human Resources Centers will:

6.4.1 Verify that recommendations for awards are properly completed and
approved by the appropriate officials before awards are processed through
the personnel/payroll system.

6.4.2 File a copy of the form SF-50 documenting the award in the Official
Personnel Folder (OPF).

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6.5 The OPDIV Incentive Awards/Suggestion Coordinators are responsible
for the following:

6.5.1 Advising supervisors and managers on appropriate awards.

6.5.2 Distributing announcements of Departmental and non-HHS awards

to supervisors, managers, and subordinate coordinators within their areas
of responsibility. Serving as the control point for the processing of award
nominations and employee suggestions.

6.5.4 Reviewing suggestions, inventions, and special acts for wider

application.

6.5.5 Reviewing award recommendations to ensure awards do not exceed award

monetary scales. (See Appendix B, Exhibits 6 and 7)

6.5.6 Informing an inventor’s organization when a patent application has

been filed and when a patent has been issued so that the inventor’s award
may be approved.

6.5.7 Maintaining records for the Awards Program.

6.5.8 Evaluating the effectiveness of the Awards Program.

6.5.9 Submitting required reports.

6.6 Management and supervisory officials are responsible for:

6.6.1 Identifying employees or groups of employees who have made

significant contributions; recommending employees whose performance,
contributions, or activities merit awards.

6.6.2 Reviewing and evaluating suggestions.

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7. CATEGORIES OF RECOGNITION

The following categories of recognition are described in Appendix B:

A) Presidential Awards
B) Departmental Awards
C) Superior Accomplishment Awards
D) Time Off Awards
E) Non-HHS Awards
F) Length of Service Recognition
G) Retirement Recognition

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 DEFINITIONS

TERMS

Award – Something bestowed or an action taken to recognize and reward an individual

or team achievement that contributes to meeting organizational goals or improving the
efficiency, effectiveness, and economy of the Government or is otherwise in the public interest.
Such awards include, but are not limited to, employee incentives that are based on predetermined
criteria.

Contribution – An accomplishment achieved through an individual or group effort in the

form of a suggestion, invention, superior accomplishment, or other personal effort that
contributes to the efficiency, economy, or other improvement of Government operations or
achieves a significant reduction in paperwork; or a special act or service in the public interest in
connection with or related to official employment.

Heads of Operating Divisions – An HHS official who has award approval authority; i.e.,
the Assistant Secretary for Administration; Administrator, Centers for Medicare & Medicaid
Services; Administrator, Health Resources and Services Administration; Administrator,
Substance Abuse and Mental Health Services Administration; Assistant Secretary for Children
and Families; Assistant Secretary for Aging; Commissioner of Food and Drugs; Director,
Centers for Disease Control and Prevention; Director, Indian Health Service; Director, National
Institutes of Health; Director, Agency for Healthcare Research and Quality.

Honor Award – The recognition device is not a cash payment or time-off as an award
but rather an award of a honorific value, e.g., a letter, certificate, citation, medal, plaque, or other
similar item of nominal value.

Incentive Award – Cash Award or time off award recognizing actions or achievements,
but not based on a rating of record.

Intangible Benefit - Benefits to the Government that cannot be measured in

terms of dollar savings.

Monetary Award – The recognition device is a cash payment that does not increase the
employee’s rate of basic pay and is subject to applicable tax rules.

Non-Federal Employee - Non-Federal employees include members of the general public

and all individuals employed as Federal and military contractors, or individuals otherwise not
directly employed by the Federal Government.

Superior Accomplishment Award - A monetary award for a contribution resulting in

tangible benefits or savings and/or intangible benefits to the Government.

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 Tangible Benefits - Benefits or savings to the Government that can be
measured in terms of dollars.

Time-Off Award – An alternate means of recognizing the superior accomplishments or

other personal efforts of employees, including members of the Senior Executive Service, that
contribute to the quality, efficiency, or economy of Government operations. Time-off duty is
granted without loss of pay or charge to leave of the employee. The number of hours granted is
equal to the employee’s contribution or accomplishment.

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 CATEGORIES OF RECOGNITION

PRESIDENTIAL AWARDS

The Office of the President has the authority to present these awards. The OPDIVs/STAFFDIVs
must submit nominations through the ASA. Generally, any career Federal civilian employee is
eligible for the President’s Award for Federal Civilian Service. When requesting these Awards,
a copy of the employee’s latest performance appraisal must be attached for review by the
Members, Departmental Awards Board.

A. The President’s Award for Distinguished Federal Civilian Service - This award is the
highest honor that the Federal Government can grant to a career employee in recognition
of unusual benefits to the Nation. Generally, five such awards may be granted each year
and are presented by the President. The award consists of a certificate, a gold medal, and
a rosette.

1. The President’s Award for Distinguished Federal Civilian Service is granted for
outstanding achievements having a major impact on improving Government
operations or serving the public interest. The importance of the achievements
must be so outstanding that the employee is deserving of greater public
recognition than that which can be granted by the Secretary.

2. The Office of Personnel Management (OPM) reviews all nominations for the
President's Award for Distinguished Federal Civilian Service and advises the
President, who selects the award recipients.

3. To be eligible for the President's Award for Distinguished Federal Civilian

Service, a nominee must have received recognition from the Department or an
OPDIV/STAFFDIV Head.

B. The Presidential Management Improvement Award - This award is presented each year
by the President to a limited number of individuals or small working teams whose
suggestions or special achievement contributions during the fiscal year resulted in
verifiable tangible savings to the Government of $250,000 or more.

1. To be eligible for the Presidential Management Improvement Award, a nominee

must have received recognition from the Department or an OPDIV/STAFFDIV
Head.

2. In addition to Department or OPDIV/STAFFDIV Head recognition, candidates

for the Presidential Management Improvement Award must also have received a
Presidential Letter of Commendation from the President at the time of
nomination. This award consists of a plaque and a certificate.

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 3. OPM and the Office of Management and Budget advise the President on final
selection. This award is approved and presented by the President. Finalists who
are not selected for Presidential Management Improvement Awards receive
Presidential Management Improvement Certificates, which are approved by the
President and presented at an appropriate ceremony within the Department.

C. The Presidential Letter of Commendation - This commendation is granted for a

contribution (suggestion, invention, or special act or service) that is beyond job
requirements and resulted in first-year measurable benefits of $250,000 or more. This
commendation consists of a personal letter from the President.

1. The nomination for the Presidential Letter of Commendation is submitted to the

Executive Secretary of the Departmental Awards Board, for review by the
Departmental Awards Board for submission to the Secretary. The nomination and
the letter are then forwarded to the White House.

2. To be eligible for a Presidential Letter of Commendation, a nominee must have

received recognition from the Department or an OPDIV/STAFFDIV Head.

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 Presidential Rank Awards

What are Presidential Rank Awards? [Reference: 5 USC § 4507]

Each year, the President recognizes and celebrates a small group of career Senior Executives
(SES) and Senior Career Employees (SL and ST) with the President’s Rank Award for
exceptional long-term accomplishments. Winners of this prestigious award are strong leaders,
professionals, and scientists who achieve results and consistently demonstrate strength, integrity,
industry, and a relentless commitment to excellence in public service.

There are two categories of rank awards: Distinguished and Meritorious. Award winners are
chosen through a rigorous selection process managed by OPM. Nominees are evaluated by
boards of private citizens, and approved by the President. The evaluation criteria focus on
leadership and results.

Distinguished rank recipients receive a lump-sum payment of 35 percent of their base pay.
Meritorious rank recipients receive 20 percent of base pay. All recipients receive a lapel pin and
framed certificate signed by the President.

Specific information and annual guidance issued by OPM can be found on the internet at
http://www.opm.gov/ses/presrankaward.asp.

What are the Eligibility Requirements and Nomination Criteria?

Eligibility

Nominees must meet the following eligibility criteria by the OPM nomination deadline (this date
is announced annually by OPM):

Senior Executives (SES) Senior Career Employees (SL and ST)

Hold a career appointment in the SES. Hold a career appointment in an OPM-allocated
Senior-Level (SL) or Scientific-Professional (ST)
Be an employee of the nominating agency. position.

Have at least 3 years of career or career-type Be an employee of the nominating agency.

Federal civilian service at the SES level. Service
does not have to be continuous. Qualifying service Have at least 3 years of career or career-type
includes appointments in the SES, Senior Foreign Federal civilian service above GS-15. Service does
Service, and the Defense Intelligence Senior not have to be continuous. Qualifying service does
Executive Service. Appointments not qualifying not include appointments that are time limited or to
include noncareer, limited term, limited positions that are excepted from the competitive
emergency, Scientific-Professional, and Senior- service because of their confidential or policy-
Level. making character.

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Presidential Rank Awards recognize long-term achievements. One outstanding performance
rating does not justify nomination, but it may justify a performance bonus. However, three
outstanding performance ratings show consistently high performance over a period of time, and
may merit a nomination.

You may nominate a reemployed annuitant who holds a career SES appointment or a career
appointment to an OPM-allocated SL or ST position and meets all eligibility requirements. HHS
will carefully consider whether these nominations are in the Department’s best interests, since
nominations and awards are limited.

A senior executive or senior career employee can receive the same award only once in any
5-year period. They may receive one award and then the other at a closer interval. One is not
required to receive a Meritorious award before receiving a Distinguished award.
For example:
When Eligible to Receive
Year Award Received
the Same Award Again
2003 2008
2004 2009
2005 2010

A nominee who meets the eligibility requirements, but leaves their SES or SL/ST position before being
selected as a recipient, is eligible to receive the award. The same applies to a nominee who is deceased
after OPM receives the nomination.

Nomination Criteria

When preparing nominations, consider that the executive’s performance will be assessed against the
following criteria during the Department’s evaluation of final nominations. Documentation should focus
on the individual’s leadership abilities, career executive accomplishments and contributions to the
Department’s mission and goals.

Senior Executives (SES) Senior Career Employees (SL and ST)

Leading Change: Demonstrated ability to Leading Change: Displayed the highest
bring about strategic change, both within and level of creativity, initiative, flexibility,
outside the organization, to meet and innovation to produce results that are
organizational goals. Inherent to the criterion important to the American people.
is the ability to establish and organizational
vision and to implement it in a continuously Leading People/Building Coalitions:
changing environment. Demonstrated unusual success in
leveraging the capabilities of colleagues
Leading People: Demonstrated the ability to to foster innovative thinking and in
lead people toward meeting the organization’s reconciling conflicting stakeholder
vision, mission, and goals. Inherent to this interests. Showed an unusual level of
criterion is the ability to provide an inclusive cooperative effort with others, including

17
workplace that fosters the development of those in Federal agencies, other
others, facilitates cooperation and teamwork, government jurisdictions, academia,
and supports constructive resolution of national or international organizations,
conflicts. and the private and non-profit sectors.

Results Driven: Demonstrated the ability to Results Driven: Has an exceptional

meet organizational goals and customer record of achieving important results
expectations. Inherent to this criterion is the impacting the technical or scientific field,
ability to make decisions that produce high- or a major program of the agency.
quality results by applying technical
knowledge, analyzing problems, and Stature in Professional Field:
calculating risks. Consistently recognized nationally or
internationally as a leader or authority in
Business Acumen: Has an exceptional record the field or discipline.
of managing human, financial, and information
resources strategically and in a manner that
instilled the utmost public trust and advanced
the organization’s mission.

Building Coalitions: Showed an unusual level

of cooperative effort to build coalitions
internally and with other Federal agencies,
State and local governments, nonprofit and
private sector organizations, foreign
governments, or international organizations to
achieve common goals.

Preparing Nomination Packages

Preliminary Nominations

The due date for preliminary nominations is usually mid-November. In early September, the
ASA Office of Human Resources will issue a call for preliminary nominations and will include
specific dates. Each preliminary nomination must contain the following documentation:

• A brief narrative (no more than one and a half pages) that summarizes the nominee’s
current position and highlights/lists the career accomplishments while in the SES and that
we can expect to be cited in the full nomination package. Include heading with
employee’s full name, title, OPDIV or STAFFDIV, and the type of PRA (i.e.,
Distinguished or Meritorious). Use no less than an 11-point font and 1” margins. ONE
COPY – e-mail is acceptable.

• A summary data sheet indicating OPDIV priority, signed by the OPDIV or STAFFDIV
Head (see Exhibit C) ONE COPY– fax or scanned copy is acceptable.

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Decisions on preliminary nominations will be communicated to OPDIVs in early December.
OHR will, at that time, communicate specific documentation requirements and deadlines for
submitting final nomination packages, through OHR, for the Secretary’s approval.

Final Nominations

Nominating officials may consider a broad range of factors in exercising discretion to nominate
executives for this award, including budgetary limits, Administration policy, Congressional
concerns and any public affairs implications. Before submitting final nominations to OPM, the
Secretary must decide whether an award to any proposed nominee would be in the best interests
of the agency and the Government.

Each nomination folder must include a career summary statement that describes the nominee’s
current position and lists highlights from his/her SES or SL/ST career. This statement will
provide review board panel members with the context needed to evaluate the nominee’s
achievements.

Each nomination folder must also include a justification statement that concisely describes the
nominee’s career achievements related to each of the Presidential Rank Award criteria. We
strongly recommend the writer tailor the nomination in a manner understandable to an outside,
lay audience. Defining terms and providing other explanatory information can help clarify for
the raters the complexities of Government and enable them to fully appreciate the difficulty of
barriers surmounted and the true value of the nominee’s contributions.

The justification statement may not exceed three (3) pages in length; longer justifications will not
be considered and nominations will be returned.

Timeline (Estimated)

September Call for Preliminary Nominations issued by OHR to OPDIVs

November Annual Call for Nominations issued by OPM
November OPDIV Preliminary Nominations Due to OHR
December OHR Notifies OPDIVs of Final HHS Nominees
January OPDIV Final Nominations Due to OHR
January Nominations due to OPM.
April Distinguished Executive and Senior Professional Review Boards convene.
Meritorious Executive and Senior Professional Review Boards convene.
May – June Background inquiries conducted on Distinguished nominees
recommended for approval.
August “Eyes Only” certification letters to Agency Heads put in final clearance.
OPM Director forwards Board recommendations to the President.
September Decision made by the President.
October Electronic photographs and summaries of Distinguished Rank Award

19
 recipients due to OPM.
January – Agencies notified to pick up certificates and lapel pins from OPM
February

Processing and Paying for the Awards

Rank Awards are paid by the nominating OPDIV. Nominating officials should plan for awards
as part of executive compensation each year. Agency Heads should anticipate the need to pay
winners and budget accordingly.

The award is paid as a lump-sum payment, and the payment is subject to the applicable annual
aggregate limitation on pay under 5 U.S.C. 5307. Section 5307(d) permits agencies with
certified performance appraisal systems for members of the Senior Executive Service (SES) and
senior-level (SL) and scientific or professional (ST) employees (senior professionals) to apply a
higher annual aggregate limitation on pay for those employees. The higher aggregate limitation
on pay is equivalent to the total annual compensation payable to the Vice President under 3
U.S.C. 104. Agencies without certified performance appraisal systems for their SES members or
senior professionals must apply an annual aggregate limitation on pay equivalent to the rate for
level I of the Executive Schedule. Any portion of a rank award that would cause aggregate
compensation in a calendar year to exceed the applicable aggregate limitation on pay is rolled
over for payment at the beginning of the following calendar year.

The lump-sum award payment that is paid in the following calendar year is in addition to basic
pay. The lump-sum payment is not subject to retirement, health benefits, or life insurance
deductions. It is not included in the “high three” average pay computation for retirement benefits
or in basic pay for thrift savings plan computation. However, the payment is subject to income
tax withholding and also FICA tax withholding if the executive is in the Federal Employees
Retirement System (FERS) or subject to Civil Service Retirement System (CSRS) Offset.

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 Exhibit 1

PRESIDENTIAL RANK AWARD PROGRAM

Preliminary Nomination Summary Sheet

OPDIV or STAFFDIV: Type of Award

acronym
Distinguished
Meritorious

Name of Nominee: Type of Appt.

SES
SL/ST
Title:

Recent Performance Ratings Indicate E or FS

proposed 2007
2006
2005

Previous PRA(s) Check here if none

Year Indicate D or M

OPDIV Priority
Nominating OPDIV or STAFFDIV Head: of

_________________________________________ _______________
Signature Date

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Attachment: Preliminary Nomination (1 page)

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 DEPARTMENTAL AWARDS

Departmental awards are established by the Department and granted by the Secretary. They are
designed to recognize exceptional or meritorious achievement. The Awards can be granted at
any time during the year.

A. The following awards comprise the Departmental Awards Program:

1. Secretary’s Award for Distinguished Service – This award is the highest

Honor award granted by the Department and is conferred by the Secretary. The
Award is a Medal and Certificate. No more than ten awards are granted annually.
This Award is presented annually at the HHS Honor Awards Ceremony. The
Award recognizes senior leaders of the Department for their sustained excellence.

Eligibility: HHS employees. Nominee must have received an exceptional/

or equivalent performance rating within the last year.

2. Secretary’s Award for Meritorious Service – This Award is the second

highest honor award granted by the Department and is conferred by the
Secretary. The Award consists of a Medal and Certificate. No more than
ten awards are granted annually. This Award is presented annually at the
HHS Honor Awards Ceremony. The Award recognizes HHS leaders for
their achievements and for inspiring others to improve their performance.

Eligibility: HHS employees. Nominee must have received an exceptional/

or equivalent performance rating within the last year.

3. HHS Distinguished Public Service Award - This award represents a truly

significant contribution with a deep and lasting impact on our society or the
world. It is a plaque, and it may be granted to any individual of national or
international reputation.

Eligibility: Any individual of national or international reputation.

4. HHS Award for Excellence in Management – This Award is the third

highest honor award granted by the Department and is conferred by the
Secretary. This Award category can be presented at two levels: 1) GS-13
and above; and 2) GS-12 and below. The Award consists of a Medal and

23
 Certificate. No more than five awards are granted annually for each category.
This Award is presented annually at the HHS Honor Awards Ceremony. The
Award acknowledges employees for contributing to the improvement of their
agency’s performance.

Eligibility: HHS employees.

5. Hubert H. Humphrey Award for Service to America – The Award

recognizes employees for their contributions to the health, safety, and
well-being of the nation. This Award category can be presented at two levels: 1)
individual; and 2) group. No more than one award is granted annually for each
level. This Award is presented annually at the HHS Honor Awards Ceremony.

Eligibility: Individual employees or groups of all grade levels.

6. Career Achievement Award – The Award recognizes HHS employees

with ten or more years in HHS for their dedication and loyalty to the
Department. This Award is presented annually at the HHS Honor Awards
Ceremony. No more than five awards are granted annually.

Eligibility: HHS employees. The nominee must have served for at least ten (10)
years or more in HHS. Nominee must have received an
exceptional/or equivalent performance rating within the last year.

7. Secretary's Recognition Award - This award was designed for the

Secretary's exclusive and personal use to provide recognition for any
reason he/she determines to be appropriate. It is a plaque, and it may be granted to
any individual or to a group or team. At the Secretary’s discretion, in
extraordinary cases, an honorarium not to exceed $5,000 may be granted.

Eligibility: Any individual or group/team.

8. Secretary's Special Citation - This award represents either a major

contribution or a single achievement to HHS goals. It is a plaque, and it
may be granted to any HHS employee at any time.

Eligibility: Any HHS employee.

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 9. Secretary’s Certificate of Appreciation - This award represents unusual
and exemplary dedication, loyalty and effectiveness, and a consequent
special contribution to the Department. It is a certificate which may be granted to
anyone internal to the Department or external to the Department at any time.

Eligibility: Any person so delegated by the Secretary.

10. Secretary's Letter of Appreciation - This letter represents a special

significant contribution to the Department's mission for which one of the
other awards is inappropriate. It is a commendation signed by the Secretary, and it
may be granted to any internal to the Department or external to the Department at
any time.

Eligibility: Any person so delegated by the Secretary.

B. Award Nomination Procedures

1. All nominations for Departmental Awards must be forwarded through the

appropriate OPDIV awards coordinator. The OPDIV/STAFFDIV Heads
must approve all nominations to be considered by the Executive Secretary
of the Departmental Awards Board. The Executive Secretary of the
Departmental Awards Board is within the Office of Human Resources
(OHR), Office of the Assistant Secretary for Administration (OASAM).

1. Recommendations for the establishment of new Departmental awards

should be forwarded to the Executive Secretary, Departmental Awards
Board, for review by the Departmental Awards Board and final decision by the
Secretary prior to implementation.

3. When an OPDIV or STAFFDIV wishes to nominate anyone internal to the

Department or external to the Department for a Secretarial award that may be granted
at any time, a decision memorandum to the Secretary outlining the reasons for the
award must be forwarded to the Executive Secretary of the Departmental Awards
Board. All nominations for a Secretarial award, including those sensitive or classified
in nature, must be reviewed by the Departmental Awards Board prior to final decision
by the Secretary.

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4. If a request for a cash stipend which accompanies an honor award is made, a full
justification must be attached to the nomination form. The justification must list
all recent awards given to the individual or group, including the date and type of
awards granted, the amounts received, and the specific achievements the awards
recognized. The maximum amount is $5,000.

5. The HHS Honor Awards Program is announced by the Chair, Departmental

Awards Board to OPDIV Heads, including their respective awards coordinators.
The Chair of the Departmental Awards Board is the Assistant Secretary for
Administration. These officials should distribute information about the award
announcements and solicit nominations from their organizations.

6. All nominations must be forwarded through the appropriate awards coordinator

and OPDIV line management channels to: Executive Secretary of the
Departmental Awards Board. Specific procedures for forwarding the nominations
are provided in the announcement.

7. The Executive Secretary of the Departmental Awards Board prepares and

forwards the nominations received to the Members, Departmental Awards Board,
for their review and evaluation. Instructions are provided to the Board to assist in
their review and ranking of the nominations.

8. The rankings of the Departmental Awards Board are tallied and submitted to the
Chair. A meeting of the full Board is scheduled to make final recommendations
to the Secretary. The Executive Secretary prepares the Board’s recommendations
and the Chair forwards those recommendations to the Secretary for final decision.

9. The Secretary’s Scheduling Office is contacted to request a date for the honor
awards ceremony. The OPDIV Heads and their respective awards program
coordinators are notified of the date of the ceremony.

10. Upon notification of the Secretary’s decision, the OPDIV Heads are notified of
the employees the Secretary has selected to be recognized at the honor awards
ceremony. The OPDIV Awards Coordinators are notified as well. The OPDIV
Heads notify their respective employees of their selection to receive the honor
award.

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C. Timeline for Departmental Awards Program and Ceremony

Below is an estimated timeline for the Departmental Awards Program and Ceremony:

Month Activity
Mar Secretary’s approval of revised Honor Awards Program
April Call for Nominations
June Nominations due to OHR
July Forward nominations to Departmental Awards Board (DAB) for review
July Rankings due from DAB
Aug Request date of Ceremony
Aug Tally DAB rankings
Aug DAB meeting to discuss and make final recommendations to Secretary
Sept Prepare DAB recommendations for approval by Secretary
Sept Forward DAB recommendations to Secretary for decision
Sept Decision by Secretary
Sept Notify OPDIV Heads and Incentive Awards Coordinators of Secretary’s
decision
Sept Procure plaques
Oct Ceremony

D. Departmental Awards Ceremony

With some exceptions, the Departmental Awards are presented annually by the Secretary
or their designee at the Awards Ceremony.

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 SUPERIOR ACCOMPLISHMENT AWARDS

A. The Superior Service Award is the highest Departmental award that the OPDIVs/
STAFFDIVs Heads are authorized to grant. It recognizes employees whose service
and achievements deserve special recognition from the Department. Individual HHS
employees or groups are eligible. This award consists of a silver medal, a lapel pin,
and a certificate. Either an individual or a group of employees may be granted a
single certificate citing the accomplishments. Nomination and approval procedures
are prescribed by the respective OPDIVs. While OPDIV/STAFFDIV Heads have
been delegated authority to grant the Superior Service Award, the authority to change
or modify the form of recognition of the award is retained by the Secretary.

Eligibility: Any HHS employee or group of employees.

B. The Superior Accomplishment Awards are designed to improve Government

efficiency, economy, and effectiveness by motivating employees to increase
productivity and creativity by rewarding their efforts which benefit the Government.

There are three categories of Superior Accomplishment Awards: 1) Special Act or

Service; 2) Suggestions; and 3) Inventions.

1. Special Act or Service - The determining factor in distinguishing what

constitutes a special act or service is the nature of the contribution itself that is a non-
recurring contribution either inside or outside of job responsibilities -- a special effort in
performing that aspect of the job that would not otherwise be appropriately recognized
through a performance award. OPDIVs and STAFFDIVs may develop procedures for
granting some special act or service awards to provide immediate recognition. The award
should be for an act that took place over a period not to exceed 90 days unless under
special circumstances.

Eligibility: HHS employee or group of employees.

2. Suggestions - A suggestion, used in this context, is a constructive idea, submitted in

writing by one or more individuals, that directly contributes to the economy or the
efficiency or increases the effectiveness of Government operations. Recognition for
employee suggestions serves as a means for motivating employees to increase
productivity and creativity by rewarding those whose adopted ideas benefit the
Government. A Suggestion Award is granted for a suggestion that is adopted by
management, and the award will consist of a certificate and/or cash. Adopted
suggestions that result in first-year tangible benefits of $250,000 or more should be
recommended for a Presidential Letter of Commendation.

28
 A suggestion consists of three parts:

i. Identification of an existing problem or need

ii. A suggested method for solving the problem or need

iii. Estimated benefits or savings, if known

Eligibility: Individual employees or group of employees.

2.1 Processing Suggestions

• An employee may submit a suggestion on HHS Form 170, “Employee Suggestion

Form” (Exhibit 2), or an equivalent approved form. If adopted, the employee
may be eligible for a cash award depending on the benefits realized by the Government.

• Suggestions may be submitted through the immediate supervisor or may be submitted

directly to the appropriate OPDIV Awards Program Coordinator. Suggesters, if they
wish, may remain anonymous. The OPDIV Awards Program Coordinator will delete the
employee’s identity before forwarding the suggestion for evaluation.

• If an idea is not eligible to be considered as a suggestion the responsible administrative

official should inform the employee of the action taken and the reason why the idea
cannot be processed through the suggestion program.

2.2 Exclusions. Ideas or suggestions that:

• Point out the need for routine maintenance work.

• Recommend enforcement of an existing rule.

• Propose changes in housekeeping practices or changes in working conditions for

personal comfort.

• Call attention to errors or alleged violations of regulations.

• Result in intangible benefits of “good will”.

The above types of submission are not eligible for an award; however, the Executive Secretary,
Departmental Awards Board will forward them to the organization having responsibility for
consideration.

29
2.3 Suggestion Awards - A suggestion award is granted for an idea that is submitted
and adopted by management and that benefits the Government. The Award
consists of a certificate and/or cash. Suggestion award certificates may be
obtained from the OPDIV Awards Program Coordinator. (Guidelines for evaluating
employee suggestions – Exhibit 3)

2.4 Processing Suggestion Awards

• After the evaluator has decided to adopt a suggestion, he or she will arrange for
preparation of the award recommendation. The HHS Form 171 (Exhibit 4) must
be prepared. A copy of the evaluation report (Exhibit 5) and the suggestion
should be attached. The Award amount is based on the value of the benefits the
Government will derive from the suggestion. Cash Awards for suggestions are based on
tangible or intangible benefits. Cash awards for suggestions based on tangible benefits
must be verified. When a suggestion results in both tangible and intangible benefits, the
amount of the award warranted by the tangible benefits should be increased by the
additional intangible benefits.

• In calculating the benefits to the Government of an adopted suggestion, the evaluator

should estimate the net benefits. Cash awards for adopted suggestions are normally
based on the estimated first year benefits to be realized by the Government. However, if
the improvement will yield substantial benefits for more than one year and
implementation involved substantial costs, the award may be based on the average annual
net savings obtained over a period of not more than three years.

- To determine the amount of the award based on tangible benefits, see

Scale of Awards Based on Tangible Benefits published by OPM (Exhibit 6).

- To determine the amount of award based on intangible benefits, see Scale of Awards
Based on Intangible Benefits published by OPM (Exhibit 7).

• The Award recommendation must be forwarded through established channels to the

official to whom approval authority has been delegated. Each approved HHS Form 171
must be certified by the organization’s fiscal officer that funds are available and have
been obligated to pay the award. The award is normally paid by the benefiting
organization.

• When a suggestion is adopted by more than one HHS component or Federal agency, the
amount of the award is prorated among the benefiting organizations.

30
• When a suggestion from another Federal agency is adopted, arrangements must be made
to transfer funds (SF-1081) to the employing agency. If the administrative cost of
transferring funds would exceed the amount of the award, the employing agency shall
absorb the award costs, in accordance with 5 CFR 451.105(b).

• The appropriate servicing human resource organization will review the award
recommendation and process the completed HHS Form171 for payment.

• The suggestion certificate, signed by the appropriate OPDIV official, will be presented to
the recipient at a suitable ceremony. The SF-50 Form documenting the award will be
placed in the employee’s OPF.

• When the recommended amount for a suggestion award exceeds $10,000 for individuals
or groups, the award recommendation, the suggestion, and HHS Form 171 will be
forwarded to the Executive Secretary of the Departmental Awards Board, ASAM,
through the appropriate OPDIV Awards Program Coordinator. The tangible/intangible
benefits must be validated by the Office of the Inspector General.

The Award recommendation must be approved by:

1) The appropriate OPDIV Fiscal officer, certifying that funds are available
2) Appropriate OPDIV management levels, including the OPDIV Head
3) The Executive Secretary of the Departmental Awards Board
4) The Chair of the Departmental Awards Board
5) The Secretary

Adopted suggestions that result in first-year tangible benefits of $250,000 or more should
be recommended for a Presidential Letter of Commendation.

2.5 Reconsideration of Rejected Suggestions

If a suggestion is not adopted, the suggester may request reconsideration if additional

evidence is provided, such as new material/information or if significant issues or
questions are clarified. The employee may request reconsideration within 90 days.
Reconsideration requests should be submitted to the appropriate OPDIV Awards Program
Coordinator.

2.6 Award Entitlement Period

The award entitlement period is the two-year period following the date of final action on
a suggestion during which the suggester retains the right to be considered for an award.
During the period, the appropriate awards program coordinator will reopen the case of a
non-adopted suggestion for consideration for an award if the idea set forth in the
suggestion has later been adopted and there has been no material change in the condition
that applied at the time of the decision not to adopt. An adopted suggestion for which an
award was given may also be reopened for consideration for an additional award during

31
 the two-year period if additional benefits have occurred since adoption. This means an
employee may receive an additional cash award for the same suggestion, if the actual
first-year savings are significantly greater than the estimated net savings on which the
original award was based or if the suggestion is used more broadly than contemplated
when the original was made.

If, within two years of the date of rejection, a suggestion is adopted or is used without
formal adoption, recognition may be granted.

3. Inventions - An invention is a new and useful device, contrivance, or process that is (or
may be) patentable under the patent laws of the United States. An employee (or group of
employees) may submit an invention report, and inventions that have value may be
considered for cash awards.

Eligibility: Individual employees or group of employees.

• An Invention Award is monetary recognition granted to a Federal employee for an

invention which is of interest to the United States Government or the public and for
which patent coverage is sought or granted.

• An initial Invention Award of $100 is granted to each employee when an invention

disclosure has been favorably searched and a patent application has been filed.

• An additional award of $300 is granted to each employee when a patent has been issued
for the invention.

• A further award of up to $35,000 may be granted on an invention owned by the United

States Government when:

(1) The invention benefits the public as evidenced by the number of patent licenses
granted, reports on commercialization from patent licenses, and other information
pertaining to the commercial use of the invention; or

(2) The invention is used by, and provides benefits to, the Government.

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The Heads of the Public Health Service Operating Divisions (AHRQ, CDC/ATSDR,
FDA, HRSA, IHS, NIH, SAMHSA) have been delegated authority to administer and
make decisions regarding the invention and patent program for their respective operating
divisions and the authority to make determinations of rights in inventions and patents in
which the Department has an interest, except as specified below:

3.1 Restrictions

• The Secretary retains authority to submit reports to Congress.

• This policy excludes those authorities under the Stevenson-Wydler

Technology Innovation Act of 1980, as amended by the Federal
Technology Transfer Act of 1986 and the National Technology Transfer
and Advancement Act of 1995, which are governed by a separate
delegation.

33
 TIME OFF AWARDS

A Time Off Award is an incentive award granted an employee that allows an excused absence
without charge to leave or loss of pay. These awards are intended to increase Federal employees'
productivity and creativity by rewarding their contributions to the quality, efficiency, or
economy of Government operations.

1. Except as indicated in number 2 below, each determination to grant a Time-Off Award,

including the amount of such an award, shall be reviewed and approved by an official
who is at a higher level than the official who made the initial decision (unless the official
who made the initial decision is the Secretary).

1. To encourage the use of a Time Off Award for timely recognition of an

employee's contribution, an OPDIV/STAFFDIV Head may authorize supervisors
to grant such awards without further review or approval for periods not to exceed 1 work
day.

Certain aspects of this authority require agreements to be reached with recognized labor
organizations for bargaining unit employees.

Eligibility: HHS employees.

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 NON-HHS AWARDS

Various organizations outside the Department sponsor awards for which HHS employees may be
nominated. The Department will solicit nominations during the year. The non-HHS awards
planning calendar (Exhibit 8) lists the external awards, a brief description, and due date to assist
the OPDIVs in considering employees in their organizations who meet the eligibility and criteria
requirements prior to formal announcements and preparing and submitting well-written
nominations by the due date.

Nomination and Review Process

1. The Office of Human Resources is responsible for soliciting nominations

Department-wide and obtaining the recommendation of the Departmental Awards
Board for each nomination prior to submission to the Chair for approval.

2. When the Department receives an announcement of a non-HHS Award, the

Executive Secretary, Departmental Awards Board, notifies the OPDIV Heads and their
respective awards coordinators. These officials are requested to distribute information
about the award announcements within their organizations. The notification from the
Department will include detailed information, including nomination requirements. The
requirements and the time for submitting nominations may vary from year to year.

3. Nominations are to be forwarded through the appropriate awards coordinator and

OPDIV line management channels to the Executive Secretary, Departmental Awards
Board. After received nominations from the OPDIVs, the Executive Secretary,
Departmental Awards Board, will forward the nominations to the Members of the
Departmental Awards Board for their review and recommendation.

4. After review and recommendation of the Members of the Departmental Awards Board,
the Chair will forward the Department’s the approved nominee/s to the awards sponsor.
The nominee’s name along with supporting documentation will be forwarded to the
Awards sponsor. All other nominations submitted will be retained by the Executive
Secretary, Departmental Awards Board, and will not be returned to the originators.

5. All nominations by HHS officials are normally made through the Department’s
Awards process rather than directly to the Awards sponsor. However, if Department
officials receive a request from an outside organization to make a nomination in their
capacity as private citizens or as members of the organization, they may make a
nomination directly to the sponsor. In such cases, they should clearly state that it is not a
nomination from the Department and they are not submitting it in their capacity as an
HHS official.

35
6. The Chair is notified of any employee/s that is selected as a winner of a non-HHS
Award by the Executive Secretary of the Departmental Awards Board. The name of the
employee/s, name of the award, description, citation, and the award sponsor’s ceremony
date and time are provided. The Chair notifies the OPDIV Head of their employee’s
selection as a winner.

7. Each year the OPDIV Awards Coordinators are requested to submit information
regarding any employee in their respective OPDIV that is selected as a winner of a non-
HHS Award. The name of the employee/s, name of the award, description, and citation
are printed in the annual HHS Honor Awards Brochure.

36
 LENGTH-OF-SERVICE RECOGNITION

1. Length-of-Service Recognition recognizes HHS employees with certificates and

emblems. All career employees are eligible to receive length-of-service recognition.
Based on their desires, OPDIVs/STAFFDIVs have the discretion to grant Length-of-
Service Recognition to employees who complete any number of years up to 49 years of
Federal service. Recognition for 50 years or more will be granted by the Secretary.

2. The Human Resource Centers/Offices are responsible for identifying employees within
their respective areas who have completed 10, 20, 30, 40, or 50 years of service.
Identification will be made as of January 1 of each year and will include employees who
will complete the required service by the time of the presentation ceremony.

3. OPDIV Heads are responsible for determining the method of presentation of

Length-of-Service recognition for their employees with less than 50 years of
service.

4. Fifty-years length-of-service awardees are recognized at the Department’s honor awards

ceremony. Information regarding employees who have completed 50 years of service
must be forwarded by the OPDIV Awards Coordinators to the Executive Secretary,
Departmental Awards Board.

Eligibility: HHS employees.

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 RETIREMENT RECOGNITION

1. Retirement certificates are granted to express appreciation to retiring employees for the
contributions they have made to the Department and to the Government. In addition to a
certificate, a letter of appreciation may also be given to a retiring employee. Retiring
employees are eligible to receive retirement certificates.

2. Retirement certificates are signed by the OPDIV/STAFFDIV Head. A retirement

certificate should be presented to each retiring employee by an appropriate
management official. The OPDIVs are responsible for purchasing retirement
certificates.

3. Retirement certificates for employees with thirty (30) or more years of service will be
granted by the Secretary. A written request from the OPDIV Head must be submitted to
the Executive Secretary of the Departmental Awards Board.

Eligibility: All employees.

38
 GUIDELINES FOR EVALUATING EMPLOYEE SUGGESTIONS

These guidelines include:

1. Policy on evaluating suggestions
2. Evaluating report format
3. Scales of awards based on tangible and intangible
4. Recommendation for Cash Awards form (HHS-171)

Adopted Suggestions

After it has been decided to adopt a suggestion, the evaluator must arrange for the preparation of
the award recommendation. An award consists of a certificate and/or cash award. A cash award
is based on the value of benefits.

An estimate of tangible and/or intangible benefits based on the first year’s use of the suggestion
must be provided. Where tangible benefits cannot be established, a brief description of the
intangible benefits to be derived should be provided. An adopted suggestion may have both
tangible and intangible benefits. The minimum award amount is $100.00 and must be based on
benefits of at least $1,000.

Non-Adopted Suggestions

Provide specific reasons for the non-adoption of a suggestion on the evaluation report as this
information is forwarded directly to the suggester or to another department.

Transfer of Suggestions

If a suggestion falls within the purview of another Federal agency to adopt or reject, the
evaluator is still responsible for preparing an evaluation before it is forwarded, by the HHS
Suggestion Coordinator, outside the department.

39
 SUBMITTING SUGGESTIONS

A. To be eligible for consideration as a suggestion, an idea must:

1. Simplify or improve operations

2. Speed up production
3. Improve working conditions, procedures, operating method or equipment
4. Save materials or property
5. Save manpower or
6. Save energy (that results in tangible savings)

B. Ideas are not eligible to be considered as suggestions if they:

1. Call attention to the need for maintenance or repair work relating to buildings,
grounds, or parking lots such as painting, replacing, cleaning, etc.
2. Relate to services or benefits of employees such as vending machines,
cafeteria services, rest room facilities, parking facilities
3. Relate to normal safety practices, such as normal protective devices, removal
of obstructions, installation of warning and traffic signs
4. Are considered complaints
5. Call attention to typographical or printing errors that normally would be
corrected during scheduled review and do not cause misinterpretation or error
6. Relate to stocking or re-stocking GSA Supply Store items listed in GSA
Supply Catalogue
7. Specify clarification of a manual or regulation or
8. Relate to cosmetic treatment, format, construction, color, or selection of
equipment for new or existing forms or publications

C. Suggestion must be submitted on HHS form 170, “Employees Suggestion Form”.

Suggesters must:

1. Describe a specific problem and offer a solution. Benefits and/or savings

should be shown, if known. Attach all available information to clarify the
proposal (sketches, photos, drawings, identification of specific buildings,
stock numbers, etc).
2. Sign the form to signify agreement that the United States may use the idea
with incurring any further claims by the suggesters or their heirs.
3. Note on the form (Item 9) if they wish to remain anonymous.
4. For a group suggestion, submit one completed form, designating “Group
Suggestion”. Each suggester should complete the top (Item 1-9) and sign the
back (Item 14-15) of a separate HHS 170, which will be retained by the
suggestion coordinator. There is no limit on the number of co-suggesters who
can be involved in joint effort.

40
D. After-the-fact suggestions are ideas that been adopted informally or under some other
program. They must be submitted in writing on a HHS 170 within six (6) months after
the date of implementation. The suggestion should identify the person(s) to whom the
proposal was made, the place, approximate date, benefits, implementation can be
evaluated.

E. The suggestion should be submitted in duplicate through the immediate supervisor or

may be submitted directly to the appropriate suggestion coordinator. Submission throught
the suggester’s or immediate supervisor is encouraged since advice may be provided that
could improve the quality and scope of the suggestion.

F. If a suggestion is not adopted, the suggester may request reconsideration if additional

evidence is provided, such as new material/information, or if significant issues or
questions are clarified. The reconsideration request must be submitted within 90 days of
notification of non-adoption.

G. If, within two years of the date of rejection, a suggestion is adopted or used without
formal adoption, recognition may be granted.

41
 EVALUATING SUGGESTIONS

The office that has the primary responsibility for a specific operation, procedure, system or
program must evaluate a suggestion based on its value and its usefulness to the government
when the subject of the suggestion falls within the office’s areas of responsibility. The office will
assign an evaluator at an appropriately responsible level within the organization.

A. The evaluator must:

1. Give due consideration to a suggestion;

2. Decide whether or not to adopt it; and
3. If the suggestion is adopted, consider granting an award

B. In evaluating a suggestion and deciding whether or not adopt it, the evaluator should:

1. Discuss it with the suggester if necessary to gain a clear understanding of the

intent, etc.
2. Discuss with the suggestion coordinator any questions on the suggestion
program (i.e. evaluation procedures, decisions to adopt/not adopt, granting of
an award and amount of award).
3. Prepare an evaluation report. It should be typed on bond paper, in triplicate, in
the format shown on Suggestion Evaluation Report form. The explanation of
the decision to adopt or not adopt should state specific reasons which may be
passed verbatim to the suggester.
4. Promptly, objectively and fairly consider the suggestion and not disapprove it
solely because:
a. The suggestion is job-related. The evaluation must be confined to the
merits of the suggestion.
b. An existing directive precludes the idea suggested. A directive may
sometimes be changed by a suggestion if it proves beneficial to the
government.
c. The suggested idea is already covered by an existing directive. The
evaluator should consider adoption of the suggestion if adoption would
cause implementation of a requirement which was previously
unknown or which had not been put into use because of a
misunderstanding or misinterpretation.
d. The idea is under prior management consideration or in use. The
suggestion should be evaluated carefully to determine any correlation
between the suggestion and the action taken.
5. Check for duplication of another suggestion. An idea which duplicates one
already under consideration may not be considered.
6. Credit the suggester with a partial adoption if evaluation of the suggestion
caused the development of a more feasible solution.

42
 7. If the suggestion is adopted, state how it might be used elsewhere throughout
the government
C. The evaluator should forward the completed evaluation report, along with the
suggestion package, to the suggestion coordinator. If the suggestion is adopted, the
evaluator should also arrange for the preparation of the award recommended.
D. Suggestion should be referred by the appropriate suggestion coordinator as follows:
1. Suggestions that require evaluation by another part of HHS (OPDIV,
OS, or region) than the one in which they originate should be
forwarded by the originating suggestion coordinator to the suggestion
coordinator evaluating from the evaluating organization.
2. Suggestions that require Department-level evaluation or evaluation
by another Federal agency should be forwarded through appropriate
channels to the Departments Incentive Awards Office. If adoption of
the suggestion will affect the operation of the organization in any way,
an evaluation by the originating organization should be made before it
is forwarded. If the originating organization should has the authority to
implement at least part of the suggestion, it may be adopted and an
award may be granted before forwarding the suggestion to the
department of the wider consideration.
E. Suggestions should be processed within the following timeframes:
1.Suggestions processed within the same originating office should be
completed within 30 days from the date of receipt by the suggestion
coordinator; within 60 days if the suggestion requires higher level
consideration; and within 90 days if the suggestion requires
consideration at the Department level or other Federal agencies.
2.If a testing period is necessary before adoption is final, the evaluator
shall notify the suggestion coordinator in writing; stating an estimated
time frame for testing. The suggestion coordinator shall notify the
suggester of this action.
3.If there are delays beyond the established time frames, the evaluator
should notify the suggestion coordinator.
F. If a suggester requester reconsideration of a non-adopted suggestion, the reevaluation
should be made at the next level above where it was last evaluated.

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 SUGGESTION EVALUATION REPORT

SUGGESTER’S NAME:

SUGGESTION NUMBER:

TITLE OF SUGGESTION:

DECISION TO
ADOPT/NOT ADOPT:

EXPLANATION OF
DECISION:

_________________________________________________ Date _____________________

Signature
Name of Evaluator

_________________________________________________
Title, Organization
Phone Number

If adopted, complete the following:

Effective (or project) implementation date: ______________________________

Estimate of the first year’s cost savings and basis of the estimate:

44
 SCALE OF AWARDS BASED ON TANGIBLE TO GOVERNMENT

Benefits Award
Estimated First-Year Employee award amount
Benefits
Up to $10,000 in benefits 10% of benefits
Between $10,000 and $1,000, plus 3% to 10% of benefits over $10,000
$100,000
More than $100,000 in $3,700 to $10,000 for the first $100,000 in benefits, plus 0.5% to
benefits 1% of benefits above $100,000, up to $25,000 with the approval
of the office of Personnel Management. Presidential approval is
required for all awards of more than $25,000.

45
 SCALE OF AWARDS BASED ON INTANGIBLE BENEFITS TO THE GOVERNMENT

EXTENT OF APPLICATION
LIMITED EXTENDED BROAD GENERAL
Affects function, Affects functions, Affects functions, or Affects functions,
mission, or mission, or personnel of several mission, or
personnel of one personnel of an regional area or personnel of more
Value of Benefits facility, installation, entire regional area, commands or an than one
regional area or an command, or entire department or department/agency,
organization element bureau. agency. or is in the public
of head quarters. interest throughout
Affects a small area Affects an important Affects an extensive the Nation and
of science and area of science or area of science or beyond.
technology technology technology.
Moderate Value
Change in
modification of an
operating principle $25-$125 $125-$325 $325-$650 $650-$1,300
or procedure with
limited impact or
use.
Substantial
Value
Substantial change
or modification of
procedures. An
important $125-$325 $325-$650 $650-$1,300 $1,300-$3,150
improvement to the
value of a product
activity, program,
or service to the
public.
High Value
Complete revision
of a basic principle
or procedure; a
$325-$650 $650-$1,300 $1,300-$3,150 $3,150-$6,300
highly significant
improvement to the
value of a product
or service.
Exceptional
Value
Initiation of a new
principle or major
procedure; a
superior $650-$1,300 $1,300-$3,150 $3,150-$6,300 $6,300-$10,000
improvement to the
quality of a critical
product, activity,
program, or service
to the public.

46
 Annual Non-HHS Awards Planning Calendar

Name of Award Description Award

Announced
Donald L. Scantlebury Memorial To recognize senior executives for October
Award for Distinguished exceptional and distinguished leadership in
Leadership governmental financial management
Public Service Excellence To recognize public service organizations November
Awards whose achievements exhibit the highest
standard of dedication, excellence and
accomplishment on a sustained basis or an
exceptional deed
Dr. Daniel E. Salmon Award To recognize outstanding contributions and November
notable service in the public’s interest by a
veterinarian federally employed in any human
health, environmental health or animal health
discipline
Arthur S. Flemming Awards To recognize outstanding and meritorious November
work within the Federal Government in
administration, applied science and
mathematics, and science
GEICO Public Service Awards To recognize the outstanding contributions in November
substance abuse prevention and treatment, fire
prevention and safety, physical rehabilitation,
and traffic safety and accident prevention
Weizmann Women and Science To recognize and outstanding woman scientist November
Award for significant contributions to the scientific
community
Albert Lasker Medical Research To recognize individuals who have made November
Awards significant contributions in basic or clinical
research in diseases that are the main cause of
death and disability
Service to America Medals To recognize federal employees who have November
shown a strong commitment to public service
and demonstrated significant accomplishment
within their government field that is
innovative, high impact, and meets a critical
need for the nation

47
 Annual Non-HHS Awards Planning Calendar

Name of Award Description Award

Announced
Interagency Resources To recognize an individual and a team who have December
Management Conference demonstrated exceptional ability to operate across
(IRMCO) Awards organizational boundaries to improve the
Government’s service to its citizens
Frank Greathouse Distinguished To recognize sustained outstanding leadership December
Leadership Award and contributions to financial management, and to
encourage increased interest, growth, and
distinctive leadership in the field of financial
management
Association of Government To recognize leadership or outstanding February
Accountants Achievement of achievement in development, implementing, and
the Year Award improving financial management in Government
service
IBM Innovations Award in To recognize innovations across the globe that February
Transforming Government reflect tangible and sustainable improvements in
policy, processes, quality, timeliness or
effectiveness of public services
NPMA Federal Property To recognize individuals in the Federal February
Manager of the Year Award Government for outstanding leadership and
accomplishments in the property management
field
Frank B. Rowlett Awards To recognize individuals and organizations for February
one-time or long-term achievement in the
improvement of national information systems
security, information assurance readiness, or
defensive information operations

48
 Annual Non-HHS Awards Planning Calendar

Name of Award Description Award

Announced
Homeland Security Award To recognize individuals or companies for March
developing new concepts or inventions that will
bring homeland security and stability to America
and Americans, whether against threats from
natural or man-made disasters, terrorists, or
cyberspace criminals
Frank Annunzio Awards To recognize individuals for “cutting edge” March
innovations in the field of Science/Technology
and a new field of Alternative Energy Sources to
strengthen America’s energy security,
environmental quality, enhance energy
efficiency and productivity, and bring clean,
reliable and affordable energy technologies to
the marketplace for both consumers and
industry.
National Medal of Technology To recognize contributions to America’s March
competitiveness, standard of living, and quality
of life through technological innovation, and
those who made substantial contributions to
strengthen the Nation’s technological workforce
Warner W. Stockberger To recognize and honor a person in public and March
Achievement Award private life who has made an outstanding
contribution toward the improvement of public
personnel management at any level of
Government
Richard and Barbara Hansen To recognize persons who have demonstrated March
Leadership Award and exemplary leadership in the health field and/or
Distinguished Lectureship research

49
 Annual Non-HHS Awards Planning Calendar

Name of Award Description Award

Announced
GSA Achievement Award for To recognize proven strategies, new approaches April
Real Property Innovation and creative ideas in real property asset
management and sustainability of federal real
property.
IPMA Human Resources (HR) To recognize an individual who exemplifies the April
Professional of the Year highest standards of the profession by promoting
and contributing to the transformation of the HR
profession through leadership in the Federal HR
community or by their action in effective HR
service delivery
Roger W. Jones Award for To recognize Federal career executives who have April
Executive Leadership demonstrated outstanding executive leadership
IPMA Federal Section Leading To recognize an agency that has made measurable April
Edge Award progress toward effectively aligning its human
capital strategies with the mission and goals of
the agency
IPMA Federal Section Linda To recognize an individual who has demonstrated April
Trunzo Humanitarian Award outstanding humanitarian contributions outside of
their federal workplace
National Medal of Science to recognize individuals for outstanding April
contributions to knowledge in the physical,
biological, mathematical, engineering, and social
and behavioral sciences

50
 Annual Non-HHS Awards Planning Calendar

Name of Award Description Award

Announced
The President’s Quality Award To recognize those organizations and programs May
that stand out in implementing the objectives of
the PMA
National Public Service Award To recognize individuals for outstanding July
contributions in public service on a sustained
basis
Noblis Innovations Award in To identify and recognize, honor and celebrate July
Homeland Security exemplary government and public-private
partnerships and the leaders behind them
Innovations in American To identify and recognize exemplary July
Government Awards achievements in creative governmental initiatives
that are effective in addressing vital public needs
NSPE Federal Engineer of the To recognize engineers who have contributed to August
Year Award the successful operations of the Federal
government
Beatrice Rosenberg Award To recognize a member of DC Bar whose career August
contributions to the government exemplify
excellence in government service
Nathan C. Davis Awards for To recognize individuals for outstanding September
Outstanding Government Service endeavors to advance the public health

51