RD Instruction 2006-H

PART 2006 - MANAGEMENT

Subpart H - Employee Suggestion Program

## [TABLE OF CONTENTS]{.underline}

[Sec]{.underline}. [Page]{.underline}

2006.351 General. 1

2006.352 \[Reserved\] 1

2006.353 Policy. 1

2006.354 Coverage. 1

2006.355 Limitations. 1

2006.356 - 2006.365 \[Reserved\] 2

2006.366 Sending in suggestions. 2

2006.367 Processing suggestions. 5

2006.368 Review. 6

2006.369 - 2006.380 \[Reserved\] 7

2006.381 Records and reports. 8

2006.382 - 2006.400 \[Reserved\] 8

## o0o

(09-04-96) PN 265

RD Instruction 2006-H

PART 2006 - MANAGEMENT

Subpart H - Employee Suggestion Program

§2006.351 [General]{.underline}.

This Instruction gives Agency policies, authorizations, and procedures
for handling employee suggestions.

§2006.352 \[Reserved\]

§2006.353 [Policy]{.underline}.

The Agency recognizes employees, individually or in groups, for
suggestions which directly contribute to productivity and efficiency, in
carrying out Agency, U.S. Department of Agriculture (USDA), and
Government programs.

§2006.354 [Coverage]{.underline}.

Any employee can make a suggestion. Only employees with paid
appointments can get awards for adopted suggestions. Employees can ask
that their suggestion(s) be reconsidered again within 2 years after
denial. A former employee is eligible for a period of 2 years from the
last day the employee was on the Agency's roll to get an award for an
adopted suggestion given while still employed by the agency.

\(a\) Awards can be given for adopted suggestions in or out of an
employee\'s normal job requirements. A suggestion in an employee\'s job
responsibility can be examined for an award only when there are benefits
above normal expectations. Suggestions approved in whole or in part are
eligible for award consideration.

\(b\) Higher level employees are expected to make suggestions that
result in greater improvements and benefits than employees in lower
grades.

§2006.355 [Limitations]{.underline}.

Ideas on services or benefits to employees, working conditions,
buildings and grounds, parking facilities, and housekeeping will be
handled through normal administrative channels and not through the
suggestion program. The following are examples of ideas which are
excluded from the suggestion program:

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

DISTRIBUTION: WSDC Administration

Management

## 1

## 

(09-04-96) PN 265

RD Instruction 2006-H

§2006.355 (Con.)

\(a\) Proposals concerning:

\(1\) Vending machines, cafeteria services, rest room facilities,
parking facilities, or holidays.

\(2\) Working conditions such as air conditioning, decorations, or
furniture.

\(3\) Care of buildings, grounds, and parking lots; such as repairing,
cleaning, painting, or adjusting.

\(4\) USDA clubs.

\(5\) Normal or routine safety practices such as normal protective
devices, removal of obstructions, or installation of warning and traffic
signs.

\(6\) Obvious errors in procedures, forms, and minor or editorial
revisions of procedures.

\(7\) Minor or editorial revisions of forms, rearrangements, number of
copies, use of snapout carbons, etc.

\(8\) Problems, projects, procedures, activities, and forms under study
as a part of, or within the scope of, the employee\'s assigned
responsibilities.

\(9\) Proposals which cost more to process than their possible value.

\(b\) Any ideas excluded from the suggestion Program must be given to
the employee\'s supervisor, who will see that there is an administrative
decision and that the employee is informed of the result. Positive
actions on the part of the employee, even though excluded under the
Employee Suggestion Program, should be considered for recognition
through the Program.

\(c\) Suggestions sent in anonymously will not receive consideration.

\(d\) Exceptions: Ideas which will give large energy savings will be
looked at in the suggestion program.

§§2006.356 - 2006.365 \[Reserved\]

§2006.366 [Sending in suggestions]{.underline}.

The procedures for sending in suggestions are as follows:

## 2 

RD Instruction 2006-H

§2006.366 (Con.)

\(a\) Suggestions must be submitted in writing, signed by the
suggester(s), on Form AD-287, \"Employee Suggestion,\" in an original
and one copy. If Form AD-287 is not available, other paper can be used
if the suggester(s) clearly indicates on the paper that \"This is an
employee suggestion.\" This will show the difference between employee
suggestions written in memorandum form and administrative
recommendations. Suggestions will be sent through line management
channels as provided in paragraph (c) of this section.

\(b\) When preparing a suggestion, the employee must:

\(1\) State the problem.

\(2\) Give details of the proposed solution.

\(3\) Explain the advantages and estimated savings, when possible.

\(4\) Include a summary of the suggestion stating specifically \"what\"
is proposed. Any procedures or forms can be referred to by number in the
summary.

\(c\) Suggestions will be sent through line management as follows:

\(1\) State, District, and County Office employees will send suggestions
through their supervisors to the State Director.

\(2\) Finance Office employees will send in suggestions through their
supervisors to the Assistant Administrator Accounting and Director,
Finance Office.

\(3\) National Office employees will send suggestions through their
supervisors to the Personnel Division, Attention: Human Resources
Programs Branch.

\(d\) Supervisors should encourage employees to submit suggestions.
Employees are urged to discuss ideas with their supervisors. Supervisors
and reviewing officials may be able to recommend changes which increase
the possibility of the suggestion being adopted.

\(e\) As stated in paragraph (c) of this section, suggestions are sent
through line management. In exceptional cases, an employee can submit s
suggestion directly to the State Director, Assistant Administrator,
Finance Office, or to the National Office. The employee must include a
short explanation of the reasons for not sending the suggestion through
line management.

## 

## 3

(09-04-96) PN 265

RD Instruction 2006-H

§2006.366 (Con.)

\(f\) State Directors and the Assistant Administrator, Finance Office
are [encouraged]{.underline} to adopt employee suggestions whlch appear
to have merit for their area of jurisdiction but may have a limited
impact on the National level. This also allows for an evaluation period
for a suggestion and a better basis on which to justify adoption on a
National level. Copies of adopted State or Finance Office suggestions
will be sent to the Mission Area Personnel Services Division (MAPSD) for
informational purposes.

\(g\) When the State Director or the Assistant Administrator, Finance
Office, believes that a suggestion which has been adopted at the local
level will be beneficial nationwide, it should be sent to the National
Office. Recognition should be given for suggestions adopted on a State
basis. However, for suggestions sent to the National Office which will
impact on the Agency, an award will not be granted until approved by the
National Office.

\(1\) Prior to forwarding any employee suggestion to the National
Office, it should be carefully reviewed and screened by the
Administrative Officer. Suggestions which do not have merit will be
rejected by the State Director or the Assistant Administrator, Finance
Office, and [will not]{.underline} be forwarded to the National Office.

\(2\) If a suggestion is considered a duplicate of one received at an
earlier date which is still pending final action, the duplicate
suggestion will be sent back to the employee with an explanation.
Suggestions received in the Finance and State Offices should be screened
to make sure duplicate suggestions are not sent to the National Office.
The date an employee suggestion is received in the National Office,
MAPSD, will be the submission date.

\(3\) Suggestions on operations which are National in scope or concern
another Government Agency will be sent to the National Office for
consideration. If it is outside the scope of Agency operations or
authority to adopt and the suggestion has merit, it will be sent to the
proper USDA office with a written evaluation of its merits. The
evaluation will be made by the National Office person primarily
concerned with the matter in the suggestion. Copies will be sent to the
suggester and the State Director or Assistant Administrator, Finance
Office.

## 4 

RD Instruction 2006-H

§2006.367 [Processing suggestions]{.underline}.

State, Finance, and National Offices will process suggestions as
follows:

\(a\) A number will be assigned to each suggestion in consecutive order
using the appropriate State, Finance, or National Office symbol. At the
beginning of each new fiscal year (FY), suggestions will be renumbered,
prefixed by the Office symbol and suffixed by the FY; for example,\
AL-l (85), AL-2 (85) and will continue through the end of the FY. Each
office will keep a running list of the numbers given to suggestions by
that office. This record can be kept on a 5 x 8 inch card or in any
either method. The record will show the number given to the suggestion,
the suggester\'s name, the date received, and the date and type of final
action taken.

\(b\) Form AD-287-3A, \"Referral and Appraisal of Employee Suggestion,\"
will be used to control each employee suggestion and will be completed
by the appropriate State or Finance Office. Form AD-287-3A will be
prepared in the same manner for suggestions which will impact only one
jurisdictional area. For suggestions being forwarded to the National
Office, the form will be completed as follows:

\(1\) Sections 1, 2, and 3 will be completed. If number 2 in\
Section 3 is checked, Section 4 should state the reason the suggestion
has been recommended for adoption and signed by the appropriate
official. However, if numbers 3 or 4 in Section 3 are checked, the
suggestion should be rejected at the State or Finance Office level and
[should not]{.underline} be forwarded to the National Office.

\(2\) For those suggestions being forwarded to the National Office, the
Acknowledgement copies and The Register of Employee Contribution will be
removed prior to submission.

\(c\) On the reverse of Form AD-287, the evaluation of each Agency
official, in the State or Finance Office, who is concerned with the
matter in the suggestion should be indicated in one of the allotted
spaces. If adoption is recommended and legal implications are involved,
comments by the appropriate Regional Attorney should be obtained.

\(d\) Form AD-287-3A should be used to notify the employee when their
suggestion has been adopted or rejected. For suggestions adopted or
rejected by the National Office, the original copy of Form AD-287-3A
with all comments and a cover memorandum signed by the Chief, Human
Resources Programs Branch, will be returned to the State or Finance
Office for notifying the employee of the action taken.

## 5

## 

(09-04-96) PN 265

RD Instruction 2006-H

§2006.367 (Con.)

\(e\) For suggestions sent to the National Office, the Form AD-287-3A
will accompany the Form AD-287. All blocks on the Form AD-287 must be
properly completed prior to submission. If not properly completed or
evaluated, both forms will be returned to the State or Finance Office
without consideration. Prior to submitting a suggestion to the National
Office for consideration, it should be properly evaluated. The
evaluation should clearly state why the suggestion is being recommended
for adoption. The National Office will not accept statements such as
\"Recommend Adoption\" or \"Recommend but lack authority to adopt,\" as
an evaluation. Forms AD-287-3A and AD-287 will be sent to the Mission
Area Personnel Services Division. A copy of Forms AD-287 and AD-287-3A
will be retained in the State or Finance Office until notification is
received from the National Office advising of its adoption or rejection.

\(f\) Adopted and rejected suggestions will be filed by FY.

§2006.368 [Review]{.underline}.

The review and evaluation of employee suggestions are part of the
regular duties of each supervisory official. Suggestions will be given
fair and prompt evaluation to encourage employee participation and to
obtain all possible benefits to the Government.

\(a\) In difficult cases, the suggestion can be reviewed by other
persons at the Finance, State, or National Office level.

\(b\) Except in unusual circumstances, the following time limits apply
in processing suggestions:

\(1\) Unless a suggestion has been postponed, final action should be
completed within 6 months after it is submitted by the employee. See
§2006.366(c) and (e) of this Instruction for sending in suggestions.

\(2\) State Directors and the Assistant Administrator, Finance Office,
should review and forward, with their evaluations and recommendations, a
suggestion requiring action by the National Office within 30 days after
receipt of the suggestion.

## 6 

RD Instruction 2006-H

§2006.368(b) (Con.)

\(3\) Officials in the National Office should act promptly on
suggestions received for evaluation. The official should make
evaluations and recommendations within 30 days after receipt of the
suggestion. If the evaluator wants the suggestion referred to an
official not listed on the routing sheet, or needs a postponement, the
Mission Area Personnel Services Division must be notified so that a
record can be kept of the location of the suggestion at all times.

\(4\) The employee will be notified when action on the suggestion is
being postponed. It will be acted on as soon as the reason for
postponement is resolved. For suggestions being considered by the
National Office, the Mission Area Personnel Services Division will give
a copy of the postponed suggestion to the proper Division Staff to
examine at the proper time. If action cannot be completed on a postponed
suggestion within 6 months, the Division Staff in which the suggestion
is being considered will send a status report to the Mission Area
Personnel Services Division so the employee can be advised within 5
working days of receipt of the report.

\(5\) Once an employee suggestion is rejected by the National Office, it
[will]{.underline} remain rejected, unless it is resubmitted for
reconsideration within 2 years after the initial rejection.

\(6\) When a rejected suggestion is later implemented because of a
change in policy, the employee [will not]{.underline} be rewarded for
that change unless the employee has resubmitted the suggestion as
indicated in paragraph (b)(5) of this section.

\(7\) The Assistant Administrator Human Resources will designate a
Suggestion Awards Coordinator. It will be the responsibility of the
Coordinator to follow-up with the respective Division Staffs concerning
their review of suggestions.

## 7

## 

(09-04-96) PN 265

RD Instruction 2006-H

§§2006.369 - 2006.380 \[Reserved\]

§2006.381 [Records and reports]{.underline}.

Each State Office, the Finance Office, and the National Office will keep
a record, by fiscal year, of all suggestions received, adopted, and
rejected. The records required by §2006.367 of this subpart should be
used to compile the annual report on the Employee Suggestion Program.

§§2006.382 - 2006.400 \[Reserved\]

## oOo

## 8