**EMPLOYEE RECOGNITION AND AWARDS**

**1. REASON FOR ISSUE:** To issue Department of Veterans Affairs (VA)
policy regarding employee recognition and awards.

**2. SUMMARY OF CONTENTS/MAJOR CHANGES:** This directive brings VA's
recognition and awards policy into alignment with the performance
appraisal system. It emphasizes timely recognition of individuals and
groups of employees who make contributions in support of organizational
goals and objectives. In addition, the directive incorporates policy on
special advancements and cash awards for title 38 employees.

**3. RESPONSIBLE OFFICE:** The Human Resources Management Employee
Relations and Performance Management Service (051), Office of the Deputy
Assistant Secretary for Human Resources and Labor Relations.

**4. RELATED HANDBOOK:** VA Handbook 5017, "Employee Recognition and
Awards."

**5. RESCISSIONS:** Refer to the Transmittal Sheet for VA Directive
5001, "General Introduction and Administration."

#### CERTIFIED BY: BY DIRECTION OF THE SECRETARY

**OF VETERANS AFFAIRS:**

John A. Gauss Jacob Lozada, Ph.D.

Assistant Secretary for Assistant Secretary for Human

Information and Technology Resources and Administration

**EMPLOYEE RECOGNITION AND AWARDS**

**1. PURPOSE.** This directive establishes VA's policy on employee
recognition and awards. It also establishes policy for special
advancements for achievement and performance for title 38 and Title 38
hybrid employees as well as cash awards for registered nurses and nurse
anesthetists. Procedures for implementing the policies in this directive
are found in VA Handbook 5017, Employee Recognition and Awards.

**2. POLICY**

a\. It is the policy of the Department to recognize individual employees
who make contributions in support of the mission, organizational goals
and objectives, and VA's Strategic Plan.

b\. The Department shall also provide advancement opportunities for
full-time, part-time and intermittent \[ \] podiatrists, optometrists,
chiropractors, registered nurses, nurse anesthetists, physician
assistants and expanded-function dental auxiliaries appointed under
authority of 38 U.S.C. 7401(1) or 7405(a)(1)(A); and, Title 38 hybrid
employees appointed under 38 U.S.C. 7401(3) or 7405(a)(1)(B). Such
advancement opportunities shall be predicated on the recognition of
quality service rendered, additional experience and professional
attainment as determined by an examination of the employee's individual
record. Advancement opportunities shall include Special Advancements for
Achievement and Performance. In addition, VA's recognition and awards
programs shall include cash awards for full time, part time, and
intermittent registered nurses and nurse anesthetists appointed under 38
U.S.C. 7401(1) and 7405.

c\. VA's recognition and awards programs will be administered using the
following principles and practices:

\(1\) Recognition has its greatest impact when it is provided as soon as
possible following the contribution or achievement.

\(2\) The views of employees and employee representatives are critical
to the program's effectiveness in motivating employees.

\(3\) The form of recognition used should be appropriate to the
contribution that was made.

\(4\) When a desired outcome results from a group or team effort, all
contributing members of the team should be recognized. The amount of
recognition per team member may vary depending on the level of
contribution.

\(5\) Appropriate presentation and adequate publicity are important to
the program.

\(6\) Employee representatives should be involved in the development,
implementation, and review of specific recognition programs.

**3. RESPONSIBILITIES**

a\. **Secretary of Veterans Affairs.** The Secretary of Veterans Affairs
has overall responsibility for providing leadership in the Department's
Employee Recognition and Awards Program.

b\. **Under Secretary for Health.** The Under Secretary for Health, or a
designee, shall approve advancements of title 38 employees covered under
the scope of this directive.

c\. **Assistant Secretary for Human Resources and Administration.** The
Assistant Secretary for Human Resources and Administration is
responsible for the overall implementation and administration of VA's
Employee Recognition and Awards Program. Included in this delegation is
authority to approve all honorary awards granted by the Secretary.

d\. **Deputy Assistant Secretary for Human Resources Management**
\[**and Labor Relations**\] **(DAS/HRM**\[**&LR**\]**).** The
DAS/HRM\[&LR\] is responsible for:

\(1\) Providing program policy and guidance.

\(2\) Consulting with VA organizations on the appropriate use of awards
and the development and implementation of organizational awards
programs.

e\. **Administration Heads, Assistant Secretaries, Other Key Officials,
and Field Facility Directors.** Administration Heads, Assistant
Secretaries, Other Key Officials and field facility directors will
provide leadership to VA's employee recognition and awards program by:

\(1\) Providing maximum support by designating adequate resources for
program administration and training.

\(2\) Ensuring that the latest concepts in recognition are integrated
when implementing organizational award programs.

\(3\) Delegating to lower level officials appropriate authority to
develop recognition programs and to act on awards recommendations.

\(4\) Evaluating the employee recognition and awards program
periodically to identify specific strengths and weaknesses, develop
improved procedures, and establish goals and objectives to direct future
program efforts.

\(5\) Giving due weight to an award granted under this program in
qualifying and selecting a title 5 employee for promotion as required in
title 5, United States Code, section 3362 and part II of
VA Handbook 5005, Staffing.

\(6\) Designating (an) awards liaison(s) who will provide advice,
assistance and other support to ensure the effective administration of
organizational awards and recognition programs.

f\. **Managers, Supervisors and Group and Team Leaders.** Being in the
best position to identify achievements and improvements in customer
service, managers, supervisors and group and team leaders are
responsible for:

\(1\) Being knowledgeable about the employee recognition and awards
program and sharing this knowledge with employees to support the
achievement of organizational goals.

\(2\) Identifying and recommending awards promptly for employees whose
performance, contributions or ideas merit formal recognition.

\(3\) Supporting the employee recognition and awards program by
utilizing awards in a consistent and equitable manner.

\(4\) Encouraging employees to submit suggestions and assisting in the
development and testing of ideas when requested.

**4. REFERENCES**

a\. 5 U.S.C., chapter 45

b\. 5 CFR, part 451

c\. 5 U.S.C. 5336

d\. 5 CFR, part 531, subpart E

e\. 5 U.S.C. 5307

f\. 5 CFR, part 530, subpart B

g\. 38 U.S.C. 7304, 7306, 7401, 7403, 7405 and 7452

**EMPLOYEE RECOGNITION AND AWARDS**

**1. REASON FOR ISSUE:** To issue Department of Veterans Affairs (VA)
procedures regarding employee recognition and awards.

**2. SUMMARY OF CONTENTS/MAJOR CHANGES:** This handbook sets forth
mandatory procedures previously contained in numerous other issuances.
No substantive changes have been made.

**3. RESPONSIBLE OFFICE:** The Human Resources Management Employee
Relations and Performance Management Service (051), Office of the Deputy
Assistant Secretary for Human Resources and Labor Relations.

**4. RELATED DIRECTIVE:** VA Directive 5017, "Employee Recognition and
Awards."

**5. RESCISSIONS:** Refer to the Transmittal Sheet for VA Handbook 5001,
"General Introduction and Administration."

#### CERTIFIED BY: BY DIRECTION OF THE SECRETARY

**OF VETERANS AFFAIRS:**

John A. Gauss Jacob Lozada, Ph.D.

Assistant Secretary for Assistant Secretary for Human

Information and Technology Resources and Administration

**EMPLOYEE RECOGNITION AND AWARDS**

**CONTENTS**

**[PART I](#PtI). GENERAL PROVISIONS**

**[PART II](#PtII). EMPLOYEE IDEAS AND INVENTIONS**

**[PART III](#PtIII). RECOGNIZING INDIVIDUAL AND GROUP CONTRIBUTIONS**

**[PART IV](#PtIV). HONOR AND NON-MONETARY AWARDS**

**[PART V](#PtV). TITLE 38 SPECIAL ADVANCEMENTS AND CASH AWARDS**

**EMPLOYEE RECOGNITION AND AWARDS**

[]{#PtI .anchor}**PART I. GENERAL PROVISIONS**

**CONTENTS**

#### PARAGRAPH PAGE

1\. [PURPOSE](#PtIpar1) I-1

2\. [DEFINITIONS](#PtIpar2) I-1

3\. [PAYMENT OF AWARDS AND NECESSARY EXPENSES RELATED TO](#PtIpar3)

###  [EMPLOYEE RECOGNITION](#PtIpar3) I-2

4\. \[[COMBINATION AWARDS](#ptipar4)\] I-3

5\. \[[AUTHORITY TO APPROVE AWARDS](#ptipar4)\] I-4

6\. [AWARD RESTRICTIONS](#PtIpar5) I-5

\[7.\] [AWARD AND SUGGESTION RECORDS](#PtIpar6) I-5

**APPENDICES**

I-A. [TYPES OF EMPLOYEE RECOGNITION](#AppIA) I-A-1

I-B. [VHA DELEGATION OF APPROVAL AUTHORITY FOR CASH,
SUGGESTIONS,](#appendix-b.-vha-delegation-of-approval-authority-for-cash-awards)

[AND TIME OFF AWARDS, AND QUALITY STEP
INCREASES](#appendix-b.-vha-delegation-of-approval-authority-for-cash-awards)
I-B-1

I-C. [NCA DELEGATION OF APPROVAL AUTHORITY FOR CASH AWARDS,](#AppIC)

[SUGGESTIONS, TIME OFF AWARDS, AND QUALITY STEP INCREASES](#AppIC) I-C-1

[I-D. VBA DELEGATION OF APPROVAL AUTHORITY FOR SPECIAL](#AppID)

[CONTRIBUTION
AWARDS](#AppID)............................................................................I-D-1

**PART I. GENERAL PROVISIONS**

**1.** []{#PtIpar1 .anchor}**PURPOSE**

a\. This handbook contains both mandatory Department of Veterans Affairs
(VA) policies, procedures and suggested guidelines for administration of
effective employee recognition and awards programs that help motivate
employees to make contributions that support and enhance organizational
goals and objectives.

b\. This handbook also:

\(1\) Establishes criteria for determining eligibility for \[superior
performance awards and\] quality step increases;

\(2\) Revises VA's scales of awards for granting time off and monetary
awards; and

\(3\) Promotes the use of Special Award Programs that are directly
linked to the achievement of organizational goals and objectives,
including Productivity/Gainsharing Awards Program.

\(4\) Incorporates title 38 advancements (Special Advancements for
Achievement and Performance) and cash awards policy, instructions,
procedures and guidance into part V of this handbook.

**2.** []{#PtIpar2 .anchor}**DEFINITIONS**

a\. **Award.** A generic reference to the entire range of rewards
available to recognize an employee under VA's Employee Recognition and
Awards Program including cash, non-monetary, honorary and time off
awards. (Unless otherwise noted, those title 38 employees covered under
part V of this handbook are also covered under VA's Employee Recognition
and Awards Program.)

b\. **Employee.** For purposes of VA's Employee Recognition and Awards
Program, an employee means an individual who is:

\(1\) Appointed in the civil service by one of the following, acting in
an official capacity:

\(a\) The President;

\(b\) A Member or Members of Congress, or the Congress;

\(c\) A member of a uniformed service;

\(d\) An individual who is an employee under 5 U.S.C., section 2105;

\(e\) The head of a Government controlled corporation; or

\(f\) An adjutant general designated by the Secretary concerned under
section 709(c) of title 32;

\(2\) Engaged in the performance of a Federal function under authority
of law or an Executive act; and

\(3\) Subject to the supervision of an individual named by subparagraph
(1) above while engaged in the performance of the duties of a position.

> \(4\) Currently performing at a successful level. (Performance
> requirements for Special Advancements and awards for Exemplary Job
> Performance and Exemplary Job Achievement for title 38 employees are
> contained in part V of this handbook.)

c\. **Key Officials.** For the purpose of this policy directive only,
\"key officials\" refers to the following specified officials:
Administration Heads, Assistant Secretaries, Other Key Officials within
VA Central Office, and key field officials (network and field facility
directors and equivalent officials).

d\. **Necessary Expenses.** Costs associated with recognition under VA's
awards program that enhance the honor and distinction given the award
recipient(s).

> \[e. **Superior Performance Awards.** A one-time cash award that may
> be granted to an employee

based on his/her rating of record. These awards only apply to VA
employees covered under VA's title 5 Performance Appraisal Program (see
VA Handbook 5017, Part III, paragraph 2).\]

**3.** []{#PtIpar3 .anchor}**PAYMENT OF AWARDS AND NECESSARY EXPENSES
RELATED TO EMPLOYEE RECOGNITION**

a\. Normally cash awards are paid by the organization(s) benefiting from
the contribution. In cases where the organization primarily benefiting
from the contribution is not the recipient's employing organization,
funds may be transferred to the employing organization to cover the
award amount.

b\. When a cash award is approved by a VA organization for a suggestion
or contribution made by an employee of another Federal agency,
arrangements shall be made to transfer funds to the recipient's
employing agency unless the administrative costs associated with
transferring funds would exceed the amount of the award.

c\. \[Superior Performance Awards will be paid as lump-sum awards and
should not be considered part of the basic pay of the employee.

d.\] Appropriated funds may be expended to purchase award items to be
used in connection with recognition granted under VA's employee
recognition and awards program.

\[e.\] If deemed appropriate by the organization head or designee,
travel and per diem expenses may be paid for an award recipient(s) and
his or her guest or attendant to attend an awards ceremony to receive an
award from the funds or appropriations available to the organization to
which the employee is assigned, the organization primarily benefiting
from the contribution, or from several funds or appropriations of the
various organizations benefiting.

f\. Appropriated funds may be expended to pay for ceremonial expenses
(see part IV, appendix B of this handbook for information on planning a
ceremony) and to furnish light refreshments at awards ceremonies when:

\(1\) The ceremony is truly \"ceremonial\" and is not a part of the
organization's typical day-to-day activities; and

\(2\) A determination is made by the organization head that light
refreshments would enhance the effectiveness of the awards ceremony; and

\(3\) OF Bulletin 03GA1.01, February 5, 2003, offers guidance on
necessary expenses associated with an awards ceremony.

g\. Decisions regarding other expenses in connection with awards that
involve expenditure of appropriated funds will be determined based on
application of relevant Comptroller General decisions and VA financial
policy. A summary of Comptroller General decisions relevant to the
employee recognition program is located in part III, appendix E of this
handbook.

h\. Expenses for appropriate promotion, publicity and administration of
awards may be incurred at the discretion of key officials as a necessary
expense of administering their awards programs in accordance with VA
financial policy. Necessary expenses may include appropriate items which
enhance the ceremony and presentation of awards.

**4.** \[**COMBINATION AWARDS.** Authorized combinations of awards
include cash and honorary; time off and honorary; cash and time off; and
in extraordinary cases, cash and a Quality Step Increase (QSI) or time
off and a QSI. To ensure compliance with the intent of applicable laws
and regulations, adhere to the following guidelines when granting
combination awards\].

a\. \[**Combining Cash or Time Off With a QSI.** QSI's by themselves are
substantial awards that affect everything from current and future
compensation budgets, to the recipient's retirement benefits. Therefore,
the granting of QSI's along with a cash or time off award should be
rare, and done only in circumstances where there is extraordinary
performance or contributions to organizational goals during a rating
period\].

b\. \[**Don't Exceed the Value of the Accomplishment.** The value of an
employee's accomplishment(s) should always be determined by using either
the Scale of Awards Based on Tangible Benefits or the Scale of Awards
Based on Intangible Benefits (see Appendix A to Part III of this
handbook). Time off is not a cash award, but it does have an intrinsic
value. This value can be determined by multiplying the amount the
employee makes per hour by the number of hours of time off. For the
purpose of this procedure, the value of a QSI is the increase to the
employees pay the first year. Therefore, if the value of the employee's
accomplishment(s) is/are, e.g., \$2000, a supervisor may give an
employee making \$25 per hour 20 hours of time off (20 X \$25/hr. =
\$500), [and]{.underline} a \$1500 cash award. Under extraordinary
circumstances, if the same employee's accomplishments during the rating
year are valued at \$3500, and a QSI would be a \$3000 increase to pay,
the employee could receive a QSI and \$500 cash---or a QSI and up to 20
hours of time off\].

c\. \[**Different Levels of Approval.** In order to ensure that the
granting of combination awards is reasonable and appropriate, one of the
two parts of the award should be approved at a level above the approval
official for the first award. Note that it should be clearly stated in
the justification of the award going to the higher level approval
official that the award is part of a combination award\].

\[**5.**\][]{#ptipar4 .anchor} **AUTHORITY TO APPROVE AWARDS.**
Authority to approve awards is subject to the provisions outlined below
except that as a courtesy, any award being recommended for an employee
of another organization should receive concurrence by the appropriate
official in the employing organization.

a\. **Cash Awards.** All cash awards must be approved at a higher
management level than that which recommended. However, key officials,
including the Secretary and Deputy Secretary, may act as both the
recommending and approving official on all monetary awards within their
delegated approval authority.

\(1\) Under Secretaries, Administration Heads, Assistant Secretaries and
other Central Office organization heads may approve special
contribution, superior performance and productivity/gainsharing awards
up to and including \$7,500 for individual employees under their
jurisdiction, awards of up to and including \$10,000 for individuals as
suggestion awards, and group special contribution awards of up to
\$25,000 provided no member of the group receives more than \$7,500.
This authority may be re-delegated.

\(2\) The Secretary may approve individual cash awards up to \$10,000
and may approve group awards in excess of \$10,000 providing no one
group member receives more than \$10,000.

\(3\) The Under Secretary for Health's delegation of authority for
incentive awards may be found in VA Handbook 5017, Part I, Appendix B.

\(4\) The Under Secretary for Memorial Affairs' delegation of authority
for incentive awards may be found in VA Handbook 5017, Part I, Appendix
C.

\(5\) The Under Secretary for Benefits' delegation of authority for
incentive awards may be found in VA Handbook 5017, Part I, Appendix D.

\(6\) Awards for an individual employee in excess of \$10,000 up to
\$25,000 must be reviewed and approved by the Office of Personnel
Management.

b\. **Time Off Awards.** Key officials are authorized to approve time
off awards up to 40 hours. Unless otherwise covered in a supplemental
organizational policy issued by a key official, all time off awards in
excess of 1 work day must be approved at a higher level than the
individual who recommended the award.

c\. **Honor Awards.** The Assistant Secretary for Human Resources and
Administration is authorized to approve Secretary's awards. Key
officials are authorized to approve organizational honor awards and may
delegate that authority to lower levels.

\[**6.**\] []{#PtIpar5 .anchor}**AWARD RESTRICTIONS**

a\. **Aggregate Salary Limitation.** The amount of combined basic pay,
allowance, differential, bonus award or other cash payment that an
employee can receive during the calendar year is limited to the salary
of Executive Level 1, except for title 38 physicians and dentists where
the calendar year limitation is the salary of the President of the
United States. Should this limitation be a concern when recommending
recognition for an employee, consult with your organization's finance
officer for assistance in determining the projected total compensation
for that individual through the end of the calendar year.

b\. **Limitations during Presidential Election (5 U.S.C. 4508).** During
the period beginning June 1 in a calendar year in which a Presidential
election occurs, and ending January 20 following the date of the
election, monetary awards may not be granted to:

\(1\) An individual in a Senior Executive Service position who is not a
career appointee as defined in 5 U.S.C. 3132(a)(4); or

\(2\) An individual in an excepted service position of a confidential or
policy-determining nature (schedule C).

c\. **Employees in Executive Schedule Positions (5 U.S.C. 4509).** In
accordance with law, a cash award may not be granted to:

\(1\) An individual in an Executive Schedule position; or

\(2\) An individual for which pay is set in statute by reference to a
section or level of the Executive Schedule.

\[**7.**\] []{#PtIpar6 .anchor}**AWARD AND SUGGESTION RECORDS**

a\. A case number will be assigned for identification and coding
purposes to each cash, honorary and time off award.

b\. Awards must be documented, filed and reported in accordance with OPM
requirements. Each servicing human resources office will maintain
employee recognition records, including the forms and the
justification/documentation to support award actions, for a period of 2
years from the approval date. Records of employee suggestions and the
action taken on them will be retained for a period of 2 years from the
date of final action on the suggestion.

c\. Form SF-50B, Notification of Personnel Action, which documents
approved cash and honor awards will be filed on the left hand side of
the personnel folder. Only Form SF-50B documenting Quality Step
Increases will be permanently filed on the right hand side in the
employee's personnel folder. A copy of VA Forms 4659/4659a, 4239 or
equivalent form produced for use with a special award program, along
with supporting documentation, must be retained by either the
organization's award liaison for the HRM office for a period of 2 years
from the approval date. A copy of VA Forms 4659, 4239, or equivalent,
may be filed in the employee's Employee Performance File. See the
General Records Schedule 1, items 12 and 13, for additional retention
requirements related to incentive awards.

[]{#AppIA .anchor}**APPENDIX A.** \[**TYPES OF**\] **EMPLOYEE
RECOGNITION** \[ \]

+---+--------+-------------+-----------------+----------------+--------+
|   | **A    | **R         | **FORM OF       | *              | **E    |
|   | WARD** | ECOGNIZES** | RECOGNITION**   | *JUSTIFICATION | LIGIBI |
|   |        |             |                 | NEEDED**       | LITY** |
+---+--------+-------------+-----------------+----------------+--------+
|   |        |             |                 |                |        |
+---+--------+-------------+-----------------+----------------+--------+
| ! | S      | A           | -   SCA - Cash  | Narrative      | Indi   |
| [ | pecial | co          |     Award of up | description of | vidual |
| ] | Con-   | ntribution, |     to          |                |        |
| ( |        | act,        |                 | act and how it | empl   |
| m | tri    |             | \$7,500 for an  | benefited      | oyees, |
| e | bution | service, or | individual and  |                |        |
| d |        | achievement |                 | government.    | groups |
| i | Award  |             | \$25,000 for a  | See part III,  | or     |
| a | \      | that        | group based on  |                |        |
| / | [SCA\] | benefits    |                 | appendix D.    | teams  |
| i |        | VA/         | tangible and/or | Can document   | (SES   |
| m | in     |             | intangible      |                |        |
| a | cludes | Government. | benefits to     | SCAs using VA  | inel   |
| g |        |             | VA/Federal      | Form 4659a.    | igible |
| e | "      | See part    | Government.     |                | for    |
| 1 | On-the | III and its |                 | \[A complete   |        |
| . | -Spot" |             | ### On-the-Spot | copy of the    | Time   |
| w |        | appendix B  |  - Minimal Cash | employee's     | Off    |
| m | and    | for         |                 | performance    |        |
| f | Time   |             | Award, usually  | appraisal and  | Aw     |
| ) |        | examples of | \$150 or less,  | a narrative    | ards.) |
|   | Off    |             | that is granted | description of |        |
|   | A      | con         | as soon as      | any factors    | \[Emp  |
|   | wards. | tributions. | possible after  | that were      | loyees |
|   |        |             | contribution of | considered but | c      |
|   | \[Su   | \[Sustained | limited impact  | not covered in | overed |
|   | perior | performance | is made. May    | the appraisal, | under  |
|   |        |             | also include a  | e.g., the      | VA's   |
|   | Perfo  | beyond      | non-monetary    | employee's     | perfo  |
|   | rmance | normal job  | award item.     | self           | rmance |
|   |        |             |                 | -assessment.\] | app    |
|   | A      | r           | ### Tim         |                | raisal |
|   | ward\] | equirements | e Off - from 4  |                | prog   |
|   |        | as          | to 40  {#time-o |                | ram.\] |
|   |        | reflected   | ff---from-4-to- |                |        |
|   |        |             | 40 .unnumbered} |                |        |
|   |        | in the      |                 |                |        |
|   |        | employee's  | hours for a     |                |        |
|   |        | most        | specific        |                |        |
|   |        |             | contribution.   |                |        |
|   |        | recent      |                 |                |        |
|   |        | rating of   | Employee may    |                |        |
|   |        | record.\]   | receive up to   |                |        |
|   |        |             | 80 hours during |                |        |
|   |        |             | a 12-month      |                |        |
|   |        |             | period.         |                |        |
|   |        |             |                 |                |        |
|   |        |             | \[A one-time    |                |        |
|   |        |             | cash award with |                |        |
|   |        |             | the amount      |                |        |
|   |        |             | determined by   |                |        |
|   |        |             | the employee's  |                |        |
|   |        |             | performance     |                |        |
|   |        |             | rating.\]       |                |        |
+---+--------+-------------+-----------------+----------------+--------+

**APPENDIX A. EMPLOYEE RECOGNITION AT A GLANCE (CONTINUED)**

+---+-------+------------+-----------------+----------------+---------+
|   | **AW  | **RE       | **FORM OF       | *              | *       |
|   | ARD** | COGNIZES** | RECOGNITION**   | *JUSTIFICATION | *ELIGIB |
|   |       |            |                 | NEEDED**       | ILITY** |
+---+-------+------------+-----------------+----------------+---------+
| ! | Qu    | E          | Adjustment in   | Narrative      | Ind     |
| [ | ality | xceptional | base pay to     | description    | ividual |
| ] | Step  | p          | next step of    | demonstrating  | GS      |
| ( |       | erformance | grade.          | exceptional    | em      |
| m | Inc   | during the |                 | performance on | ployees |
| e | rease | most       | Typically cash  | all job        | only.   |
| d |       | recent     | award based on  | elements and   |         |
| i | G     | p          | pre-determined  | how            | Ind     |
| a | ainsh | erformance | formula for     | performance    | ividual |
| / | aring | appraisal  | measuring and   | contributed to | emp     |
| i | Award | cycle.     | sharing gains   | accomplishment | loyees, |
| m |       |            | distributed to  | of             | groups  |
| a |       | Im         | employees who   | organizational | or      |
| g |       | provements | produce gains.  | goals and      | teams.  |
| e |       | in         |                 | objectives.    |         |
| 2 |       | p          |                 |                |         |
| . |       | erformance |                 | Sufficient     |         |
| w |       | or         |                 | data to        |         |
| m |       | pr         |                 | demonstrate    |         |
| f |       | oductivity |                 | improvements   |         |
| ) |       | that are   |                 | in quality,    |         |
|   |       | measurable |                 | quantity       |         |
|   |       | as         |                 | and/or         |         |
|   |       | increases  |                 | timeliness     |         |
|   |       | in         |                 | realized and   |         |
|   |       | pr         |                 | basis for each |         |
|   |       | oductivity |                 | employee's     |         |
|   |       | and that   |                 | share based on |         |
|   |       | result in  |                 | increases in   |         |
|   |       | more       |                 | productivity.  |         |
|   |       | effective  |                 |                |         |
|   |       | and        |                 |                |         |
|   |       | efficient  |                 |                |         |
|   |       | use of     |                 |                |         |
|   |       | resources. |                 |                |         |
+---+-------+------------+-----------------+----------------+---------+

**APPENDIX A. EMPLOYEE RECOGNITION AT A GLANCE (CONTINUED)**

+---+-------+------------+-----------------+----------------+---------+
| ! | Honor | Con        | Typically a     | Narrative      | Ind     |
| [ | Award | tributions | plaque,         | description of | ividual |
| ] |       | or         |                 | contri-        |         |
| ( | No    | achieve-   | certificate,    |                | emp     |
| m | n-mon |            | medal, desk     | bution or      | loyees, |
| e | etary | ments that |                 | achievement    |         |
| d | Award | are unique | item or other   | being          | groups  |
| i |       | and        | item used to    |                | of      |
| a |       | deserving  |                 | recognized by  |         |
| / |       | of         | bestow honor.   | the particular | emp     |
| i |       | r          |                 |                | loyees. |
| m |       | ecognition | Award items of  | award and      |         |
| a |       |            | nominal value   | benefits to    | Ind     |
| g |       | beyond or  | such            | VA.            | ividual |
| e |       | other than |                 |                |         |
| 3 |       | that       | as              | Brief          | emp     |
| . |       |            | pen-and-pencil  | narrative      | loyees, |
| w |       | provided   | sets, mugs,     | description of |         |
| m |       | by cash.   | water           | contribution   | groups  |
| f |       |            |                 | or achievement | of      |
| ) |       | Con        | bottles, desk   | being          | emp     |
|   |       | tributions | organizers,     | recognized by  | loyees. |
|   |       | or         | etc. whose      | the particular |         |
|   |       | ac         | primary value   | type of award. |         |
|   |       | hievements | is as a form of |                |         |
|   |       | that may   |                 |                |         |
|   |       | not        | recognition and |                |         |
|   |       | warrant a  | not as an       |                |         |
|   |       | cash award |                 |                |         |
|   |       | or may     | object with     |                |         |
|   |       | supplement | monetary value. |                |         |
|   |       | a cash or  |                 |                |         |
|   |       | time off   |                 |                |         |
|   |       | award.     |                 |                |         |
+---+-------+------------+-----------------+----------------+---------+

## APPENDIX B. VHA DELEGATION OF APPROVAL AUTHORITY FOR CASH AWARDS,

## SUGGESTIONS, TIME OFF AWARDS, AND QUALITY STEP INCREASES

**1. SPECIAL CONTRIBUTION AWARDS**

a\. **VA Central Office**

\(1\) \[Deputy\] Under \[Secretaries\] for Health \[or their designees;
VA Central Office (VACO) chief officers; and the Dean, VA Learning
University, are\] authorized to approve up to and including **\$7,500**
for [individual]{.underline} special contribution awards and up to and
including **\$25,000** for [group]{.underline} special contribution
awards for \[ \] eligible \[Senior Executive Service\] employees \[and
title 38 equivalents, employees in General Schedule positions, and title
38 employees (e.g., physicians, dentists, nurses)\].

\(2\) \[VACO chief consultants and staff office directors are\]
authorized to approve up to and including **\$**\[**5,000**\] for
[individual]{.underline} special contribution awards \[and up to and
including **\$16,500** for [group]{.underline} special contribution
awards\] for \[ \] employees \[in General Schedule positions and title
38 employees (e.g., physicians, dentists, nurses)\]. \[ \]

b\. **VHA Field Facilities**

\(1\) \[Field\] Network directors are authorized to approve up to and
including **\$**\[**7,500**\] for [individual]{.underline} special
contribution awards and up to and including **\$**\[**25,000**\] for
[group]{.underline} special contribution awards for eligible Senior
Executive Service (SES) employees \[and title 38 equivalents, employees
in General Schedule positions, and\] title 38 employees (e.g.,
physicians, dentists, nurses) \[. **Approval authority may be
re-delegated, as appropriate.**\]

\(2\) \[Field\] facility directors are authorized to approve up to and
including **\$**\[**5,000**\] for [individual]{.underline} special
contribution awards and up to and including **\$**\[**16,000**\] for
[group]{.underline} special contribution awards for \[ \] employees in
\[General Schedule positions and\] title 38 employees (e.g., physicians,
dentists, nurses), \[including\] Executive Grade physicians and
dentists. **Approval authority may be re-delegated, as appropriate.** \[
\]

##### **2.** \[**SUGGESTION AWARDS**\]

a\. **VA Central Office**

\(1\) \[Deputy\] Under \[Secretaries\] for Health \[or their designees
are\] authorized to approve up to and including **\$10,000** for
[individual and group]{.underline} suggestion awards for \[ \]
employees.

\(2\) \[VACO chief officers and the Dean, VA Learning University, are\]
authorized to approve up to and including **\$**\[**7,500**\] for
[individual and group]{.underline} suggestion awards for \[ \]
employees.

\(3\) \[VACO chief consultants and staff office directors\] are
authorized to approve up to and including **\$**\[**5,000**\] for
[individual and group]{.underline} suggestion awards for \[ \]
employees. \[ \]

b\. **VHA Field Facilities**

\(1\) \[Field\] Network directors are authorized to approve up to and
including **\$7,500** for [individual and group]{.underline} suggestion
awards for \[ \] employees. \[**Approval** **authority may be
re-delegated, as appropriate.**\]

\(2\) \[Field\] Facility directors are authorized to approve up to and
including **\$5,000** for [individual and group]{.underline} suggestion
awards for \[ \] employees. **Approval** **authority may be
re-delegated, as appropriate.**

\[ \]

**3. TIME OFF AWARDS**

a\. **VA Central Office**

\(1\) \[Deputy\] Under \[Secretaries\] for Health \[or their designees;
VACO chief officers; and the Dean, VA Learning University, are\]
authorized to approve time off awards up to and including **40 hours**
for \[General Schedule and\] equivalent title 38 employees (e.g.,
physicians, dentists, nurses).

\(2\) \[VACO chief consultants and staff office directors are\]
authorized to approve time off awards up to and including **32 hours**
for \[General Schedule and\] equivalent title 38 employees (e.g.,
physicians, dentists, nurses). \[ \]

b\. **VHA Field Facilities.** \[Field\] Network \[ \] and facility
directors are authorized to approve time off awards of up to and
including **40 hours** for \[General Schedule and\] equivalent title 38
employees (e.g., physicians, dentists, nurses). **Approval authority may
be re-delegated, as appropriate.** \[ \]

**4.** \[**TITLE 5**\] **QUALITY STEP INCREASES**

a\. **VA Central Office**

\(1\) \[Deputy\] Under \[Secretaries\] for Health \[or their designees;
VACO chief officers; and the Dean, VA Learning University,\] are
authorized to approve quality step increases for \[title 5\] employees
\[ \] in pay categories through the **GS-15 level** \[under their
jurisdiction\].

\(2\) \[VACO\] chief consultants and staff office directors are
authorized to approve quality step increases for \[title 5\] employees
in pay categories through the **GS-14 level**. \[ \]

b\. **VHA Field Facilities.** \[Field\] Network \[ \] and facility
directors are authorized to approve quality step increases for \[title
5\] employees in pay categories through the **GS-15 level**. **Approval
authority may be re-delegated, as appropriate.** \[ \]

**5. DEFINITIONS**

a\. **Special Contribution/Cash Award.** For the purpose of this
handbook, a special contribution/cash award refers to a special
contribution award, an on-the-spot award, or a
productivity/gainsharing/goalsharing award.

b\. **Suggestion.** Employee suggestions are ideas that define a problem
or objective, present a solution or plan for improvement and tell how
the solution will improve the efficiency, economy or effectiveness of
government operations or otherwise benefit the government.

c\. **Time Off Award.** Time Off Awards are time off from 4 to 40 hours
(or 1-5 days for VHA full-time physicians, dentists, optometrists, and
podiatrists) in recognition of a specific contribution.

d\. **Title 5 Quality Step Increase.** A quality step increase is an
increase to an employee's rate of basic pay from one step of the grade
to the next step that is granted in recognition of excellence in
performance during the last appraisal cycle. The purpose of quality step
increases is to recognize, on an individual basis, consistently high
achievers by granting faster than normal step increases.

**6. RESTRICTIONS**

a\. **Special Contribution Awards**

\(1\) When approving group special contribution awards, the award amount
for any employee within a group cannot exceed the approving official's
dollar limit for an individual special contribution award (e.g., a field
facility director can approve group special contribution awards up to
and including \$16,500 as long as the award amount for any employee
within the group does not exceed \$5,000).

\(2\) Award amounts must be consistent with the Scales of Awards Based
on Tangible and Intangible Benefits located in VA Handbook 5017, Part
III, Appendix A.

\(3\) Only Field Network and Facility Directors may act as both the
recommending and approving official. Otherwise, the approving official
must be at a higher management level than the official who recommended
the award.

\(4\) See VA Handbook 5017, Part I, paragraph 5, for additional award
restrictions.

b\. **Suggestion Awards**

\(1\) In order to qualify for a cash award, adopted suggestions must
have measurable dollar benefits of at least \$250, or intangible
benefits of comparable value, or a combination of both.

\(2\) Awards may be in the form of cash or time off. In determining the
amount of the award for adopted suggestions, the appropriate scale of
awards in \[Appendix A to\] Part III of VA Handbook 5017 will be used.

\(3\) Only Field Network and facility directors may act as
[both]{.underline} the recommending and approving official. Otherwise,
the approving official must be at a higher management level than the
official who recommended the award.

c\. **Time Off Awards**

\(1\) Employees in the Senior Executive Service (SES) and equivalents
appointed under title 5 or title 38 are excluded from receiving time off
awards.

\(2\) Not more than 40 hours (or 5 days for title 38 employees on a
daily leave system) may be granted to an employee for a specific
contribution.

\(3\) The maximum amount of time off that may be granted to any employee
during a 12-month period is 80 hours (or 10 days for title 38 employees
on a daily leave system).

\(4\) The number of hours granted for a time off award must be
consistent with the Scale of Time Off Awards located in VA Handbook
5017, Part III, Appendix F.

\(5\) Only field Network and facility directors may act as
[both]{.underline} the recommending and approving official. Otherwise,
all time off awards in excess of 1 day must be approved by an official
at a higher management level than that which recommended the award.

d\. **Quality Step Increases**

\(1\) Only General Schedule employees appointed under title 5 are
eligible to receive quality step increases.

\(2\) A quality step increase may [not]{.underline} be granted to an
eligible employee who has received a quality step increase within the
preceding 52 consecutive calendar weeks.

\(3\) A quality step increase may [not]{.underline} be granted to an
eligible employee who is in step 10 of the pay grade.

\(4\) Only field Network and facility directors may act as
[both]{.underline} the recommending and approving official. Otherwise,
the approving official must be at a higher management level than the
official who recommended the quality step increase.\]

[]{#AppIC .anchor}**APPENDIX C. NCA DELEGATION OF APPROVAL AUTHORITY FOR
CASH, TIME OFF AND SUGGESTION AWARDS, AND QUALITY STEP INCREASES**

**1.** **PURPOSE.** To delegate the authority within the National
Cemetery Administration (NCA) to approve incentive awards in accordance
with Department of Veterans Affairs (VA) policy regarding employee
recognition and rewards under the authority of United States Code,
Chapter 45, Section 512(a).

**2.** **KEY OFFICIALS.** For the purpose of this delegation, "key
officials" refer to the following specified officials: Under Secretary
for Memorial Affairs; Deputy Under Secretary for Operations; Deputy
Under Secretary for Management; Director, Office of Field Programs;
Director, Office of Construction Management; Director, Office of Finance
and Planning; Service Directors within VA Central Office; Memorial
Service Network (MSN) Directors; and, Cemetery Directors.

**3. CASH AND TIME OFF AWARDS.** Key officials as defined in paragraph 2
above, may serve as both the recommending and approving official. Awards
recommended above the delegated authority amount will require two
signatures (the recommending official and the key official) prior to
being submitted for approval.

**4. DELEGATION.** The authority to approve incentive awards is
delegated as follows:

##  a. Special Contribution Awards (SCAs) -- VA Central Office

\(1\) The Under Secretary for Memorial Affairs is authorized to
recommend and approve SCAs up to and including \$7,500 for individuals,
and \$25,000 for group awards for all eligible employees provided no
member of the group receives more than \$7,500.

\(2\) The Deputy Under Secretary for Operations and the Deputy Under
Secretary for Management are authorized to recommend and approve SCAs up
to and including \$5,000 for individuals and \$15,000 for group awards
for all eligible employees provided no member of the group receives more
than \$5,000.

\(3\) The Director, Office of Field Programs; the Director, Office of
Construction Management; and the Director, Office of Finance and
Planning, are authorized to recommend and approve SCAs up to and
including \$4,000 for individuals and \$10,000 for group awards for all
eligible employees provided no member of the group receives more than
\$4,000.

\(4\) Service directors in the Offices of the Deputy Under Secretary for
Operations and the Deputy Under Secretary for Management are authorized
to recommend and approve SCAs up to and including \$3,000 for
individuals and \$8,000 for group awards for all eligible employees
provided no member of the group receives more than \$3,000.

###  b. **Special Contribution Awards (SCAs) - Field Facilities**

\(1\) MSN directors are authorized to recommend and approve SCAs up to
and including \$3,000 for individuals and \$8,000 for group awards for
all eligible employees provided no member of the group receives more
than \$3,000.

\(2\) Cemetery directors are authorized to recommend and approve SCAs as
follows:

\(a\) GS-13 and GS-14, up to and including \$2,000 for individuals and
\$5,000 for group awards for all eligible employees provided no member
of the group receives more than \$2,000;

\(b\) GS-11 and GS-12, up to and including \$1,500 for individuals and
\$3,500 for group awards for all eligible employees provided no member
of the group receives more than \$1,500; and,

\(c\) GS-9, up to and including \$1,000 for individuals and \$2,000 for
group awards for all eligible employees provided no member of the group
receives more than \$1,000.

###  c. **Time Off Awards -- VA Central Office**

\(1\) The Under Secretary for Memorial Affairs, the Deputy Under
Secretary for Operations, and the Deputy Under Secretary for Management
are authorized to recommend and approve up to 40 hours of time off for
all eligible employees.

\(2\) The Director, Office of Field Programs, the Director, Office of
Construction Management, and the Director, Office of Finance and
Planning, are authorized to recommend and approve up to 27 hours of time
off (or the equivalent of 3 workdays) for all eligible employees.

\(3\) Service directors in the Offices of the Deputy Under Secretary for
Operations and the Deputy Under Secretary for Management are authorized
to recommend and approve up to 18 hours of time off (or the equivalent
of 2 workdays) for all eligible employees.

#  d. Time Off Awards -- Field Facilities

\(1\) MSN directors are authorized to recommend and approve up to 18
hours of time off (or the equivalent of 2 workdays) for all eligible
employees.

\(2\) Cemetery directors are authorized to recommend and approve up to 8
hours of time off (or the equivalent of 1 workday) for all eligible
employees.

e\. **Suggestion Awards** -- **VA Central Office**

\(1\) The Under Secretary for Memorial Affairs is authorized to
recommend and approve a suggestion award up to and including \$10,000
for all eligible employees.

\(2\) The Deputy Under Secretary for Operations and the Deputy Under
Secretary for Management are authorized to recommend and approve
suggestion awards up to and including \$7,500 for all eligible
employees.

\(3\) The Director, Office of Field Programs; the Director, Office of
Construction Management; and the Director, Office of Finance and
Planning are authorized to recommend and approve suggestion awards up to
and including \$5,000 for all eligible employees.

\(4\) Service directors in the Offices of the Deputy Under Secretary for
Operations and the Deputy Under Secretary for Management are authorized
to recommend and approve suggestion awards up to and including \$3,000
for all eligible employees.

######  f. Suggestion Awards -- Field Facilities

\(1\) MSN directors are authorized to recommend and approve suggestion
awards up to and including \$3,000 for all eligible employees.

\(2\) Cemetery directors are authorized to recommend and approve
suggestion awards as follows:

\(a\) GS-13 and GS-14 up to and including \$2,000 for all eligible
employees,

\(b\) GS-11 and GS-12 up to and including \$1,500 for all eligible
employees, and,

\(c\) GS-9 up to and including \$1,000 for all eligible employees.

g\. **Quality Step Increase (QSI).** Only the Under Secretary for
Memorial Affairs; the Deputy Under Secretary for Operations; the Deputy
Under Secretary for Management; the Director, Office of Field Programs;
the Director, Office of Construction Management; the Director, Office of
Finance and Planning; service directors in the Offices of the Deputy
Under Secretaries; and MSN directors are authorized to recommend and
approve Quality Step Increases. A QSI is an increase to an employee's
rate of basic pay from one step of the grade to the next step that is
granted in recognition of excellence in performance during the last
appraisal cycle. Cemetery directors may recommend QSIs for approval by
their MSN directors.

**5. PROCEDURES.** Use the following procedures to submit awards:

a\. Submit SCAs and Time Off award recommendations on VA Form 4659,
Incentive Awards Recommendation and Approval, or VA Form 4659a, Awards
Justification. Submit QSIs on VA Form 4659, along with the performance
appraisal. For further instructions, refer to part III of this handbook.

b\. Use Scale of Awards Based on Intangible or Tangible Benefits found
in appendix III-A of this handbook. Note that awards must be consistent
with this scale.

c\. Submit award justification for review to the NCA Human Resources
Division (402D1), or servicing personnel unit prior to submission for
approval, as appropriate. Human Resources personnel are responsible for
reviewing award justifications to ensure that they meet the criteria
prior to submission for approval.

d\. Awards will be coordinated with appropriate budget officials to
ensure the availability of funds in accordance with established
budgetary procedures.

e\. Seek concurrence from appropriate official(s) in an employee's
organization when an award is recommended for an employee in another
organization. Authority to approve awards is subject to the provisions
of this delegation, but concurrence should be obtained from another
organization for any award proposed for an employee in that
organization.

**6. REDELEGATION.** Service directors and cemetery directors may
re-delegate their authority to recommend or approve (but not both) to
the next lower level supervisor. The award amount associated with this
re-delegation will not exceed 75% of the original delegated authority.

[]{#AppID .anchor}\[**APPENDIX D. VBA DELEGATION OF APPROVAL AUTHORITY
FOR SPECIAL CONTRIBUTION AWARDS**

The Veterans Benefits Administration's (VBA) delegation of authority for
approval for special contribution awards is as follows:

1\. The Under Secretary for Benefits is authorized to approve up to and
including \$7,500 for individual special contribution awards and up to
and including \$25,000 for group special contribution awards so long as
no one employee receives more than \$7,500.

2\. The Deputy Under Secretary for Benefits is authorized to approve up
to and including \$7,500 for individual special contribution awards and
up to and including \$25,000 for group special contribution awards so
long as no one employee receives more than \$7,500.

3\. Facility directors, program and staff office directors and the
Associate Deputy Under Secretaries for Field Operations, Management, and
Policy & Programs have the authority to approve up to and including
\$5,000 for individual special contribution awards and up to and
including \$10,000 for group special contribution awards so long as no
one employee receives more than \$5,000.

4\. All special contribution awards within VBA normally require a
signature by an approving official. However, key officials may act as
both recommending and approving officials on all monetary awards within
their delegated authority to approve awards.

5\. All special contribution award nominations exceeding monetary
approval limits will be sent

through channels to the appropriate approval level.\]

**EMPLOYEE RECOGNITION AND AWARDS**

[]{#PtII .anchor}**PART II. EMPLOYEE IDEAS AND INVENTIONS**

**CONTENTS**

#### PARAGRAPH PAGE

1\. [GENERAL PROVISIONS](#PtIIpar1) II-1

2\. [SUGGESTION PROCEDURES](#PtIIpar2) II-2

3\. [SUGGESTION AWARDS](#PtIIpar3) II-2

4\. [EMPLOYEE INVENTIONS](#PtIIpar4) II-2

**APPENDICES**

II-A. [EFFECTIVE SUGGESTION PROGRAM ADMINISTRATION](#AppIIA) II-A-1

**PART II. EMPLOYEE IDEAS AND INVENTIONS**

**1.** []{#PtIIpar1 .anchor}**GENERAL PROVISIONS**

a\. To be accepted as a suggestion, the idea must be submitted in
writing, define a problem or objective, present a solution or plan for
improvement and tell how the solution will improve the efficiency,
economy or effectiveness of Government operations or otherwise benefit
the Government, except:

\(1\) Ideas that benefit employees such as holidays, leave, and
insurance, or those involving services to employees such as working
conditions, building and grounds, housekeeping, or routine safety
practices generally are excluded from consideration unless there are
also significant anticipated benefits to the Government from the idea.

\(2\) Submissions which are not constructive proposals offering specific
means for improving operations or which contain assumptions or
unsupported statements will not be accepted for consideration under the
suggestion program.

b\. Employee suggestions will be processed promptly, normally within 30
days of receipt.

c\. Suggestions which are adopted locally but are believed to be useful
elsewhere in VA or the Government will be forwarded to VACO for
consideration for adoption on a wider scale.

d\. Suggestions which cannot be evaluated or adopted locally because
they are beyond the scope of local implementation will be forwarded to
VACO, along with the facility\'s evaluation as to the merits or value of
the idea.

e\. Approval officials are responsible for implementing adopted
suggestions and inventions and authorizing payment of cash awards as
soon as possible.

f\. Local employee recognition liaisons are responsible for circulating
information on suggestions adopted for optional use to interested
services/divisions and to their VACO awards' liaison.

g\. All suggestions processed through the employee suggestion program
have a 2-year award entitlement period during which, if the idea is
subsequently adopted as a direct result of the employee\'s suggestion,
or if any beneficial action traceable to the suggestion is taken, the
suggestion should be reopened for award consideration.

h\. Suggesters may request reconsideration of the decision on their
suggestions.

i\. Participation by employees in the suggestion program is voluntary.

j\. Acceptance of a cash award for an employee suggestion or invention
constitutes an agreement that the use of the idea, method or device for
which the award was paid does not form the basis of a further claim
against the Government by the employee. \[For information on a further
award, see para. 4c(3) of this part.\]

**2.** []{#PtIIpar2 .anchor}**SUGGESTION** **PROCEDURES**

a\. Suggestions must be submitted in writing, using either VA Form 3951,
Employee Suggestion, or a memorandum.

b\. Employees may submit suggestions directly to their servicing HRM
office.

c\. Suggestions will be evaluated on VA Form 4239, Action on Employee
Suggestion.

d\. Employee recognition liaisons will coordinate the review of employee
suggestions originating from or forwarded to their organization for
review and evaluation.

**3.** []{#PtIIpar3 .anchor}**SUGGESTION AWARDS**

a\. In order to qualify for a cash award, adopted suggestions must have
measurable dollar benefits of at least \$250, or intangible benefits of
comparable value, or a combination of both.

b\. Awards may be in the form of cash or time off. In determining the
amount of the award for adopted suggestions, the appropriate scale of
awards in part III, appendix A will be used.

c\. A cash award may be granted to an employee for an adopted suggestion
which concerns matters within or outside job responsibilities.

d\. When warranted, a suggestion award may be supplemented based on
benefits that are in addition to those realized by the original adoption
of the suggestion.

e\. Once an award is accepted, the idea, method or device that was the
subject of the suggestion becomes the exclusive property of the
Government.

f\. Suggestion awards will be documented using VA Form 4239, and will
contain a summary of the benefits resulting from adoption of the
suggestion.

**4.** []{#PtIIpar4 .anchor}**EMPLOYEE INVENTIONS**

a\. An employee or group of employees whose invention benefits the
government and/or the public may be considered for a cash or honorary
award.

b\. VA regulations 38 CFR, sections 1.650 - 1.666, Inventions by
Employees of the Department of Veterans Affairs, require that the
inventor(s) disclose the invention to VA at the earliest possible time.
The submission of the disclosure must contain specific information in a
specific format. Contact the Office of General Counsel for additional
information. An inventor's report should be submitted whether or not the
employee considers the invention to be related or unrelated to his or
her job. The Office of General Counsel will notify the appropriate
officials of their obligation to consider employee inventors for awards.

c\. Upon notification from the Office of General Counsel of the
employee's eligibility for an award, the following may be recommended:

\(1\) An initial award of \$300 may be recommended and approved when the
reported invention has been favorably evaluated by VA as having value to
its mission.

\(2\) An additional award of \$500 should be granted when the following
conditions are met:

\(a\) A patent application is filed by VA,

\(b\) The Federal government owns the invention or has a license to it,
and

\(c\) Upon notification that a patent has been issued or has been
allowed.

\(3\) A further award may be granted on inventions owned by the U.S.
Government based on tangible or intangible benefits to the extent the
invention has benefited the Government under the following conditions:

\(a\) When 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
inventions; and/or

\(b\) When the invention provides benefits to the Government as
evidenced by Government use.

d\. Award recommendations will be submitted on VA Form 4659.

e\. If an employee inventor believes the value of the invention to the
Government or the public has substantially increased since an award was
made, the employee may seek reconsideration of the award amount. The
opinion and recommendations of the General Counsel may be sought on this
issue.

[]{#AppIIA .anchor}**APPENDIX A. EFFECTIVE SUGGESTION PROGRAM
ADMINISTRATION**

**1. THE BENEFITS OF AN EMPLOYEE SUGGESTION PROGRAM.** While suggestions
programs originally came about as a mechanism for saving money and
resources by tapping into the creativity of employees, the benefits
realized when an effective program is administered have gone well beyond
saving money. Possibly the greatest benefit from a well-run suggestion
program involves employee morale. With active and visible top management
support, a suggestion program can greatly improve and enhance internal
communications, employee involvement and employee empowerment, which are
all desirable outcomes.

**2. TIMELINESS.** Critical to the suggestion program's success is the
timeliness in which suggesters receive feedback on their idea.
Typically, evaluations should be completed within 30 days of their
receipt when local review is all that is necessary. An effective way to
try to keep on top of processing these important employee ideas is to
include suggestions as controlled correspondence as you send them out
for evaluation. By doing so, you create a tracking record and deadline
for follow-up and the suggestion won't get lost in the shuffle. If you
are unable to meet the 30-day deadline for giving the suggester an
evaluation, as least provide a note with a status report to keep the
suggester informed. Conduct training sessions for individuals who
regularly receive suggestions for evaluation. (Guidelines for evaluators
appear at the end of this appendix.)

**3. EFFECTIVE PROMOTION AND PUBLICITY.** Give wide publicity to adopted
ideas and use such publicity to encourage other employees to
participate. Provide suggesters with tips to help them prepare their
ideas. (Guidelines for employee suggesters appear later in this
appendix.) Run special campaigns or contests to encourage employee
participation and input. Provide general areas where specific solutions
to problems are being sought and encourage employees to come up with
solutions. Provide token items (such as a coffee mug or pen) to thank
employees who participate by submitting a suggestion. Seek ideas through
employee newsletters and bulletin boards.

**4. CHANGING THE MINDSET.** Suggestion programs often are viewed as
just another \"human resources\" program and because of this view, often
are given low priority on the list of things to do. Effective suggestion
programs are run as an integral part of the day-to-day business of the
organization and viewed in a positive manner as a \"management
efficiency\" tool.

**5. THE ROLE OF THE SUGGESTION EVALUATOR**

a\. Clearly the evaluator is a key player in the success of an employee
suggestion program. It is important that an individual given
responsibility to evaluate an employee idea have an open mind, be
receptive to change, and be responsive to the employee making the
suggestion. Lengthy delays in evaluating ideas, criticism of suggestions
and employees making the suggestions has a negative effect on the
program and reflects poorly on management.

b\. Following are guidelines to consider in evaluating the idea:

\(1\) **Be Prompt.** Read the suggestion as quickly as possible to make
sure that the suggestion is in the correct office for evaluation. If
not, then immediately return the suggestion to the human resources
management office for referral. If you are the appropriate evaluating
official, try and prepare your response within a week. If an unusual
delay in responding is needed due to testing or completion of a study,
provide an interim response with a realistic projected completion date.

\(2\) **Be Receptive.** Look for ways to use the idea instead of reasons
why the idea won't work. Keep an open mind.

\(3\) **Be Responsive.** In preparing your evaluation, make sure that
you fully understand what the employee is suggesting and fully respond
to the idea. If you don't understand, contact the employee directly or
through the human resources management office. If you cannot adopt the
idea, explain why and provide examples and written materials whenever
possible to help the employee understand your decision.

\(4\) **Be Courteous.** As with any correspondence, put yourself in the
position of receiving the evaluation and think about how you phrase your
response. Even when you cannot provide a positive evaluation, phrase
your response in a way to create good will and encourage the employee to
continue being creative in his or her thinking.

**6. PREPARING AN EMPLOYEE SUGGESTION**

a\. Statistics show that the most successful suggestions come from
employees who work directly with the operations or procedures that the
suggestion concerns. There is always room for improvement in doing your
job so keep an open mind and try to think of ways to improve procedures
and operations to make the best use of your time and of taxpayer's
dollars.

b\. When you do have an idea to improve operations, or a way to
eliminate unnecessary paperwork or waste, write it down immediately. You
may not develop it at that time, but by writing it down, you are less
likely to forget about your idea.

c\. When you are ready to develop your suggestion, here are a few steps
to help you prepare your proposal to management.

\(1\) State the problem that currently exists, or the outdated procedure
or situation that could be improved.

\(2\) Explain in as much detail as possible why the problem exists or
the procedure adds no value (it may help to do a little research to see
if others are having the same problem or if someone else has streamlined
procedures in a similar manner), or how the situation could be changed
to produce better results.

\(3\) State in specific terms how you feel the problem could be resolved
or procedures modified in order to improve the efficiency or
effectiveness of operations.

\(4\) Explain how your idea will benefit VA, the Government or the
public and be as specific as possible (particularly if there are dollar
savings you can identify).

d\. After you have developed your idea, talk with your supervisor or
human resources management office who might be able to further help you
develop your suggestion.

e\. Submit your idea as soon as possible in writing either using VA Form
3951 or a memorandum.

**EMPLOYEE RECOGNITION AND AWARDS**

[]{#PtIII .anchor}**PART III. RECOGNIZING INDIVIDUAL AND GROUP
CONTRIBUTIONS**

**CONTENTS**

#### PARAGRAPH PAGE

1\. [SPECIAL CONTRIBUTIONS](#PtIIIpar1) III-1

2\. \[[SUPERIOR PERFORMANCE
AWARDS](#partIIIpara2)\]................................................................III-2

\[3.\] [QUALITY STEP
INCREASE](../5017%20EMPLOYEE%20RECOGNITION%20AND%20AWARDS.doc#partIIIpara3)
\[[QSI](#partIIIpara3)\] III-\[3\]

\[4.\] [PRODUCTIVITY SHARING OR GAINSHARING AWARDS](#PtIIIpar4)
III-\[3\]

\[5.\] [ORGANIZATIONAL AWARDS PROGRAMS](#PtIIIpara5) III-5

**APPENDICES**

III-A. [AMOUNTS OF CASH AWARDS](#AppIIIA) III-A-1

III-B. [APPROPRIATE USE OF CASH
AWARDS](#appendix-b.-appropriate-uses-of-cash-awards) III-B-1

III-C. [SPECIAL AWARDS PROGRAMS](#appendix-c.-special-awards-programs)
III-C-1

III-D. [PREPARING AWARD JUSTIFICATIONS/NOMINATIONS](#AppIIID) III-D-1

III-E. [DECISIONS RELATED TO AWARDS AND NECESSARY\
RECOGNITION EXPENSES](#AppIIIE) III-E-1

III-F. [TIME OFF AWARDS](#AppIIIF) III-F-1

**PART III. RECOGNIZING INDIVIDUAL AND GROUP CONTRIBUTIONS**

**1.** []{#PtIIIpar1 .anchor}**SPECIAL CONTRIBUTIONS**

a\. **General Provisions.** Recognition through a cash award, time off
award or other honorary or non-monetary means may be granted to an
individual employee, group or team of employees in recognition of a
contribution, act, service or achievement that benefits VA/Federal
Government \[ \]. The type and amount of award will be based on the
value of the contribution to the organization. In determining the amount
of an award, the appropriate table(s) in appendix A of this part will be
used. If a ceremony will be used to recognize award recipients, see \[VA
Handbook 5017, Part IV, Appendix B\].

**NOTE:** *Because recognition has its greatest impact as a motivational
tool when it follows closely the contribution being recognized, every
effort should be made by supervisors and managers to submit a
recommendation as soon as possible after the contribution is made.*

\(1\) There is no limit on the number of special contribution awards
that may be granted to an employee in any given period, either as an
individual or as a member of a group or team.

\(2\) When a special contribution award is based on a group
contribution, each contributing employee, including supervisors, should
share in the award. The award may be granted in equal shares or in
shares which reflect actual demonstrated differences in contributions to
the group effort.

\(3\) Because the basis for monetary recognition is the contribution
that was made and resulting benefits and not the number of people in a
group effort, the total amount of a group award generally will not
exceed the amount that could be authorized if the contribution had been
made by one individual. Exceptions to the total amount of a group award
may be approved by key officials for award amounts within their
delegated approval authority. Reason(s) for the exception must be
documented in the recommendation.

\(4\) Some examples of contributions for which a special contribution
award may be appropriate are:

\(a\) High-level performance on a \[special project while continuing to
perform regular duties\];

\(b\) Creative efforts that resulted in an important contribution to the
efficiency or economy of VA operations or improved customer service such
as streamlining processes or procedures or a significant reduction in
paperwork;

\(c\) A major medical advancement;

\(d\) Overcoming unusual, unique, or difficult circumstances in the
performance of duties with exceptional results that warrant recognition;

\(e\) Enhanced service delivery to customers through reengineering of
work processes or procedures;

\(f\) Significant improvements in the quality of services and products
for VA customers; and

\(g\) An act of heroism or unusual courage or competence in an emergency
situation which was connected with or related to official employment;

**NOTE:** *See checklist in \[VA Handbook 5017, Part III, Appendix D\]
for additional examples of contributions that may warrant a special
contribution award.*

\(5\) Examples of situations where a monetary award is not appropriate,
but an employee may be eligible for a time off award or other
nonmonetary recognition, are included in \[VA Handbook 5017, Part III,
Appendix B\].

\(6\) Generally, award recommendations will be submitted as soon as
possible following the contribution. Cash and time off awards
recommendations should be submitted using VA Form 4659, Incentive Awards
Recommendation and Approval, and will contain a justification that
summarizes the contribution and includes a description of the benefits
to VA or beyond from the contribution which serve as the basis for the
award. The justification may be completed on VA Form 4659a, Checklist
for Special Contribution Award Recommendations, as an attachment to VA
Form 4659, or on bond paper. Recommendations for special awards
programs, such as \"On-the-Spot\" awards, may be submitted on
alternative forms as indicated in the procedures for the special awards
programs.

b\. **Types Of Awards for Special Contributions**

\(1\) Special Contribution Awards of up to \$10,000 per employee to
recognize individual, group or team efforts.

\(2\) On-the-Spot Awards provide immediate recognition of one-time,
short-term efforts that do not meet the minimum requirements for a
special contribution award. On-the-Spot Awards may be cash or
nonmonetary or both.

\(3\) A Time Off Award is an excused absence granted to an employee
without charge to leave or loss of pay. Time off may be used alone or in
combination with other forms of special contribution awards. See
appendix F of this part for additional information on time off awards.

\(4\) Non-monetary awards are discussed in \[VA Handbook 5017, Part IV,
paragraph 2\].

**2.** \[**SUPERIOR PERFORMANCE AWARDS.** A superior performance award
is a one-payment cash award that may be granted to an employee for
sustained superior performance on job responsibilities over the period
of a rating year. Managers should encourage and reward excellence in
performance by granting these awards when appropriate to deserving
employees. The factor used in identifying award recipients will be
performance ratings.

a\. **Eligibility**

\(1\) Only VA employees covered under VA's performance appraisal program
are eligible to receive superior performance awards.

\(2\) Superior performance awards are not required, but may be granted
to employees whose rating of record is fully successful or higher.

\(3\) An eligible fully successful rating must include the attainment of
an exceptional achievement level on at least one critical element.

b\. **Period of Performance.** This will coincide with the rating year.

c\. **Amount of Superior Performance Award.** The dollar amount of the
superior performance award will be determined by the performance rating
attained.

d\. **Appeal.** The failure to grant an employee a superior performance
award or the amount of a superior performance award may not be appealed.

[]{#partIIIpara3 .anchor}**3. QUALITY STEP INCREASE (QSI).** A quality
step increase is an increase to an employee's rate of basic pay from one
step of the grade to the next step that is granted in recognition of
excellence in performance during the last appraisal cycle. The purpose
of such increases is to recognize, on an individual basis, consistently
high achievers by granting faster than normal step increases.\]

a\. **Eligibility**

\(1\) Only General Schedule employees are eligible to receive quality
step increases*.* Employees in occupations identified in 38 U.S.C.
7401(3) are eligible for one-step Special Advancements for Performance,
subject to meeting the criteria for QSIs. (See \[VA Handbook 5017, Part
V, subparagraph 6.f.\] for specific instructions.)

\(2\) Quality step increases are not required but may be granted to
employees \[who receive an Outstanding rating of record\].

\(3\) QSIs are appropriate when an employee's sustained high level of
achievement merits faster than normal advancement of basic pay and that
employee is not in step 10 of the grade. A QSI not only increases an
employee's base pay, but also increases the amount of retirement
benefits, the amount of Government life insurance for covered employees,
and often results in a higher basic pay adjustment upon promotion of the
employee.

**NOTE:** *Because a QSI represents an increase in base pay, this type
of recognition may increase an organization's budget well into the
future.*

b\. **Submission.** Recommendations for quality step increases will be
submitted as soon as possible after the end of the appraisal cycle, on
VA Form 4659, and will be accompanied by a complete copy of

the employee's most recent performance appraisal and a narrative
statement on bond paper describing the overall exceptional performance
meriting this recognition. VA Form 4652, Request for Personnel Action,
should also be provided with the justification to ensure timely
processing.

c\. **Restrictions.** A quality step increase may not be granted to an
eligible employee who has received a quality step increase within the
preceding 52 consecutive calendar weeks or who is in step 10 of the pay
grade.

d\. **Effect on Regular Within-Grade Increases.** An employee who
receives a quality step increase does not start a new waiting period to
meet the time requirements for a regular within-grade increase. If the
increase places the employee in the *fourth or seventh step* of his or
her pay grade, however, the waiting period for the within-grade increase
is extended by 52 weeks. Because a QSI is intended to recognize and
motivate an employee, the avenue most advantageous to the employee
should be taken. Also, if the employee is about to be promoted, the QSI
may or may not benefit the employee once promoted.

**NOTE*:*** *The following chart compares the impact of the effective
date of a QSI on an employee's progression from step 3 through step 5 of
the grade. In the illustration, a decision was made to award a QSI to an
employee who is due for a within-grade increase to step 4 in January
2004. The last two columns illustrate how making the QSI effective
before or after the due date of the step 4 within-grade increase affects
the due date for the within grade increase to step 5*.

+--------------+--------+----------------------+-------+--------------+
|              | **     |                      |       |              |
|              | Impact |                      |       |              |
|              | of QSI |                      |       |              |
|              | on     |                      |       |              |
|              | R      |                      |       |              |
|              | egular |                      |       |              |
|              | Within |                      |       |              |
|              | -Grade |                      |       |              |
|              | Incr   |                      |       |              |
|              | ease** |                      |       |              |
+--------------+--------+----------------------+-------+--------------+
| ***Regular   |        | ***Impact of QSI***  | ***I  |              |
| Within-Grade |        |                      | mpact |              |
| (WGI)        |        |                      | When  |              |
| Pr           |        |                      | WGI   |              |
| ogression*** |        |                      | Plac  |              |
|              |        |                      | es*** |              |
|              |        |                      |       |              |
|              |        |                      | *     |              |
|              |        |                      | **Emp |              |
|              |        |                      | loyee |              |
|              |        |                      | in    |              |
|              |        |                      | Step  |              |
|              |        |                      | 4 of  |              |
|              |        |                      | Gra   |              |
|              |        |                      | de*** |              |
|              |        |                      |       |              |
|              |        |                      | ***be |              |
|              |        |                      | cause |              |
|              |        |                      | QSI   |              |
|              |        |                      | is    |              |
|              |        |                      | delay |              |
|              |        |                      | ed*** |              |
+--------------+--------+----------------------+-------+--------------+
|              |        |                      |       |              |
+--------------+--------+----------------------+-------+--------------+
| WGI to step  |        | WGI to step 3 -      | WGI   |              |
| 3 -          |        | effective 1/03       | to    |              |
| effective    |        |                      | step  |              |
| 1/03         |        |                      | 3 -   |              |
|              |        |                      | effe  |              |
|              |        |                      | ctive |              |
|              |        |                      | 1/03  |              |
+--------------+--------+----------------------+-------+--------------+
| WGI to step  |        | QSI to step 4 -      | WGI   |              |
| 4 -          |        | effective 1/03       | to    |              |
| effective    |        |                      | step  |              |
| 1/04         |        |                      | 4 -   |              |
|              |        |                      | effe  |              |
|              |        |                      | ctive |              |
|              |        |                      | 1/04  |              |
+--------------+--------+----------------------+-------+--------------+
| WGI to step  |        | WGI to step 5 -      | QSI   |              |
| 5 -          |        | effective 1/05       | to    |              |
| effective    |        |                      | step  |              |
| 1/06         |        |                      | 5 -   |              |
|              |        |                      | effe  |              |
|              |        |                      | ctive |              |
|              |        |                      | 1     |              |
|              |        |                      | /04\* |              |
+--------------+--------+----------------------+-------+--------------+

*\*WGI and QSI may be processed on the same date as the WGI will always
be effected first.*

e\. **Effective Date.** Quality step increases should be made effective
as soon as possible after they are approved unless a short delay would
benefit the employee. Because the approval of the increase is a
discretionary action, it may not be approved retroactively. However, if
an administrative error occurred *after* the increase was approved that
caused a delay in the increase being processed, it may be made effective
retroactive to the first day of the first pay period following the date
of approval.

[]{#PtIIIpar4 .anchor}\[**4**.\] **PRODUCTIVITY SHARING OR GAINSHARING
AWARDS.** Productivity sharing or gainsharing programs are subject to
the same award criteria that apply to other awards. These are awards
that are paid out on a regular recurring basis in recognition of
exceeding predetermined levels of productivity during the measurement
period. Key officials may establish productivity sharing or gainsharing
programs to engage many or all employees in a common effort to achieve
gains in productivity, quality or effectiveness and share some portion
of the savings resulting from the gains to the employees or groups of
employees who, through enhanced teamwork and common commitment, produce
those results. Although such programs generally offer monetary
incentives, they may also offer or be combined with time off or other
forms of recognition.

**NOTE:** *In establishing a productivity sharing or gainsharing
program, organizations are encouraged to involve employees in the design
and administration of the program to obtain employee buy-in and support
of the initiative.*

a\. **Coverage.** Gainsharing programs may cover an entire organization,
work units, teams or individual employees in specific occupations where
output can be measured against preestablished goals.

b\. **Defining Performance Measures.** Productivity, quality and/or
effectiveness, whichever is being measured, should be defined in terms
of resources used to produce measurable results. Compared with baseline
data, these programs should include a predetermined method for measuring
gains as well as for calculating the amount of any award based on the
gain.

c\. **Defining Measurement and Award Formulas.** The formulas developed
to *determine gains* should generally be related to the nature of the
work and the purpose for which the program was established. The formula
developed to *calculate awards* based on gains should be related to a
baseline standard to which a value is attached for each increment by
which the standard is exceeded. For groups, the formula may also include
the method for distributing the award among the employees who produced
the gain. The award may be a uniform percentage of base pay, a set
dollar amount, scale of time off, or other.

d\. **Program Evaluation.** The results of a productivity sharing or
gainsharing program should be monitored and evaluated periodically to
ensure that the results achieved, and awards driven by them, are
consistent with the intent of the program. Results of such reviews may
signal the need to adjust standards that are consistently surpassed over
time or are affected by new technology or work processes.

e\. **Distribution of Awards.** Awards that result from these types of
programs should be distributed as closely as possible after the gain has
been realized. Awards may be paid on an annual, semi-annual, quarterly,
monthly or biweekly basis or may be granted at other intervals based on
the nature of the work and the type and size of the awards.

f\. **Establishing Productivity Sharing or Gainsharing Programs.**
Gainsharing programs should describe:

\(1\) Objectives of the awards program (what the program is supposed to
achieve);

\(2\) Coverage (which employees, groups of employees, work units or
occupations are covered by the program);

\(3\) Types of outcomes that will be measured (improved productivity,
quality, effectiveness);

\(4\) How the gains will be determined;

\(5\) Type of award that will be provided (flat amount cash award, cash
award based on percent of base pay, time off, or other form of
recognition);

\(6\) How awards will be calculated based on gains;

\(7\) Frequency for distributing the awards;

\(8\) How, where and/or when the awards will be presented; and

\(9\) Frequency and method of program evaluation.

[]{#PtIIIpara5 .anchor}**5. ORGANIZATIONAL AWARDS PROGRAMS**

a\. Organizations are strongly encouraged to develop special awards
programs to use along with other Departmental awards, to support
specific organizational goals and objectives. These programs link most
forms of recognition (monetary, non-monetary and time off) directly to
the achievement of specifically defined organizational initiatives such
as improved customer service, innovative practices, quality initiatives,
elimination of unnecessary work processes or procedures, etc. These
awards can also be used to recognize and reinforce organizationally
defined values such as courtesy, employee empowerment, responsiveness to
customers, risk taking, etc.

b\. In planning and developing a special use awards program, involvement
of \[unions,\] employees and supervisors at all levels is encouraged to
create awareness and understanding of the program\'s goals and
objectives, and to facilitate employee acceptance of the program.
Employee input is also useful to ensure that the type of recognition
being proposed is meaningful to employees and will serve as a motivator.

c\. Special awards programs need to be described in writing and approved
by a key official or his or her designee. The description of such
programs should include:

\(1\) The objective of the awards program (what the program is supposed
to achieve);

\(2\) The types of contributions that will be recognized (describe
criteria and provide concrete examples whenever possible);

\(3\) The specific information that nominations must contain (a
standardized nomination format will simplify the nomination, review and
selection process);

\(4\) Who is eligible for an award (certain pay plans, occupations, work
units, services/divisions, etc.);

\(5\) The type of recognition or award item that will be provided (to
the extent possible recognition should be both meaningful to the
employee and commensurate with the contribution recognized).
Organizations may use existing certificates or design their own for use
with special awards programs;

\(6\) The frequency and number of awards that will be granted and the
award consideration period (monthly, quarterly, annually, on an
as-warranted basis, etc.);

\(7\) The nomination, screening and approval processes (which should be
kept to a minimum to encourage nominations while also ensuring that an
accurate description of the contribution justifying the award is
provided); and

\(8\) How, where and/or when the award(s) will be presented.

d\. Information about special use awards programs should be announced
and publicized to promote awareness among employees of the opportunity
for recognition.

e\. Many types of award programs are available to reduce costs and
further organizational goals and objectives. Imaginative uses of awards
which may be used include, but are not limited to awards that recognize:

\(1\) Employee of the Month, Quarter or Year;

\(2\) Teamwork and/or cooperation;

\(3\) Promoting the use of Best Practices;

\(4\) Promoting exceptional courtesy and responsiveness through written
documents (letters, brochures, pamphlets, etc.);

\(5\) Improved work behaviors such as exemplary courtesy and
responsiveness to veterans and the public;

\(6\) Recruitment efforts for referring candidates for hard-to-fill
positions;

\(7\) Employee participation in the Employee Suggestion Program; and

\(8\) Suggestion Evaluators who provide prompt and responsive
evaluations of employee suggestions.

f\. To reinforce the effectiveness of special use awards, it is
important to widely publicize the employees recognized under the
program. The level at which awards are presented, as well as the
involvement of the nominating and approving officials in the
presentation of the award, are also important considerations.
Newsletters, bulletin boards, articles in local newspapers, etc., can
all serve as effective vehicles for the purpose of publicity.

g\. To ensure that legal/regulatory requirements \[and contractual
obligations\] are met, organizations should consult with local Human
Resources Offices and Finance Offices and obtain necessary concurrences
prior to implementation. Additionally, a copy of the approved special
awards program should be maintained by the Human Resources Office as
documentation for the program and to expedite processing of requests for
recognition to support these programs.

h\. Award justifications used to support granting any special awards may
be submitted on VA Form 4659 or in accordance with the provisions of the
program. Justifications must be maintained either by the organization's
award liaison or the Human Resources office for a period of two years
after the approval of the award.

i\. Evaluation of each special use program should be conducted
periodically to ensure its effectiveness and need for continuation. This
review also provides an opportunity to make changes or reannounce the
award program. How and when such evaluation will be carried out should
be considered in the development of any special awards program.

[]{#AppIIIA .anchor}**APPENDIX A. AMOUNTS OF CASH AWARDS**

1\. The extent to which an employee or group of employees makes a
contribution in support of VA's mission and the value of that
contribution are the bases for granting a monetary award. Such awards
are calculated using the appropriate table(s) on the next \[three\]
pages.

a\. Tangible benefits are specific monetary savings that can be
calculated. When used as the basis for determining a cash award,
tangible benefits are calculated based on an estimate of savings for the
first full year. When there are significant nonrecurring costs involved
in implementation, the amount of the award may be based on an *average*
of the estimated net benefits over a period of up to 5 years.

b\. Intangible benefits measure the value of a suggestion or
contribution when its worth cannot be calculated in dollars, and
considers such factors as value or significance of the contribution, and
extent of application and impact.

2\. The minimum cash award that may be granted under this program is
\$50.

3\. A cash award granted under this program is a lump-sum award which is
in addition to the regular pay of the recipient and is subject to the
withholding of income and Medicare taxes.

4\. When a cash award is authorized for a group of employees based on a
contribution or suggestion, each contributing employee may share in the
award equally or in shares proportionate to each employee's
participation in the contribution.

5\. Exceptions to application of the scales of awards may be made as
follows: (1) a properly calculated cash award for a group of employees
may be increased by a reasonable amount if it would not provide a
meaningful award (at least \$50 per employee) when divided among the
recipients; or (2) a properly calculated cash award for an employee
whose contribution falls directly within job requirements, but that is
so outstanding that it warrants a cash award, may be reduced.

**SCALE OF AWARDS BASED ON TANGIBLE BENEFITS**

  ------------ ------- ------------ ------- ------------ ------- --------------- -------- ----------------- --------
  **BENEFITS           **BENEFITS           **BENEFITS           **BENEFITS               **BENEFITS        
  AWARD**              AWARD**              AWARD**              AWARD**                  AWARD**           

  Up to        10%\*   50,000       2,200   90,000       3,400   170,000         4,050    1,800,000         12,200
  \$10,000                                                                                                  

  11,000       1,030   51,000       2,230   91,000       3,430   175,000         4,075    1,900,000         12,700

  12,000       1,060   52,000       2,260   92,000       3,460   180,000         4,100    2,000,000         13,200

  13,000       1,090   53,000       2,290   93,000       3,490   185,000         4,125    2,100,000         13,700

  14,000       1,120   54,000       2,320   94,000       3,520   190,000         4,150    2,200,000         14,200

  15,000       1,150   55,000       2,350   95,000       3,550   195,000         4,175    2,300,000         14,700

  16,000       1,180   56,000       2,380   96,000       3,580   200,000         4,200    2,400,000         15,200

  17,000       1,210   57,000       2,410   97,000       3,610   225,000         4,325    2,500,000         15,700

  18,000       1,240   58,000       2,440   98,000       3,640   250,000         4,450    2,600,000         16,200

  19,000       1,270   59,000       2,470   99,000       3,670   275,000         4,575    2,700,000         16,700

  20,000       1,300   60,000       2,500   100,000      3,700   300,000         4,700    2,800,000         17,200

  21,000       1,330   61,000       2,530   101,000      3,705   325,000         4,825    2,900,000         17,700

  22,000       1,360   62,000       2,560   102,000      3,710   350,000         4,950    3,000,000         18,200

  23,000       1,390   63,000       2,590   103,000      3,715   375,000         5,075    3,100,000         18,700

  24,000       1,420   64,000       2,620   104,000      3,720   400,000         5,200    3,200,000         19,200

  25,000       1,450   65,000       2,650   105,000      3,725   425,000         5,325    3,300,000         19,700

  26,000       1,480   66,000       2,680   106,000      3,730   450,000         5,450    3,400,000         20,200

  27,000       1,510   67,000       2,710   107,000      3,735   475,000         5,575    3,500,000         20,700

  28,000       1,540   68,000       2,740   108,000      3,740   500,000         5,700    3,600,000         21,200

  29,000       1,570   69,000       2,770   109,000      3,745   550,000         5,950    3,700,000         21,700

  30,000       1,600   70,000       2,800   110,000      3,750   600,000         6,200    3,800,000         22,200

  31,000       1,630   71,000       2,830   111,000      3,755   650,000         6,450    3,900,000         22,700

  32,000       1,660   72,000       2,860   112,000      3,760   700,000         6,700    4,000,000         23,200

  33,000       1,690   73,000       2,890   113,000      3,765   750,000         6,950    4,100,000         23,700

  34,000       1,720   74,000       2,920   114,000      3,770   800,000         7,200    4,200,000         24,200

  35,000       1,750   75,000       2,950   115,000      3,775   850,000         7,450    4,300,000         24,700

  36,000       1,780   76,000       2,980   116,000      3,780   900,000         7,700    4,360,000\*\*\*   25,000

  37,000       1,810   77,000       3,010   117,000      3,785   950,000         7,950                      

  38,000       1,840   78,000       3,040   118,000      3,790   1,000,000       8,200                      

  39,000       1,870   79,000       3,070   119,000      3,795   1,050,000       8,450                      

  40,000       1,900   80,000       3,100   120,000      3,800   1,100,000       8,700                      

  41,000       1,930   81,000       3,130   125,000      3,825   1,150,000       8,950                      

  42,000       1,960   82,000       3,160   130,000      3,850   1,200,000       9,200                      

  43,000       1,990   83,000       3,190   135,000      3,875   1,250,000       9,450                      

  44,000       2,020   84,000       3,220   140,000      3,900   1,300,000       9,700                      

  45,000       2,050   85,000       3,250   145,000      3,925   1,350,000       9,950                      

  46,000       2,080   86,000       3,280   150,000      3,950   1,400,000\*\*   10,200                     

  47,000       2,110   87,000       3,310   155,000      3,975   1,500,000       10,700                     

  48,000       2,140   88,000       3,340   160,000      4,000   1,600,000       11,200                     

  49,000       2,170   89,000       3,370   165,000      4,025   1,700,000       11,700                     
  ------------ ------- ------------ ------- ------------ ------- --------------- -------- ----------------- --------

*\*Award is 10% of actual dollar value of benefit.*

*\*\*Certain awards over \$10,000 require approval by the Office of
Personnel Management (OPM).*

*\*\*\*Maximum award authorized by OPM. The President may authorize up
to an additional \$10,000.*

**SCALE OF AWARDS BASED ON INTANGIBLE BENEFITS**

+----------------+--------+------+--------------------+----------+---+
|                |        | **EX |                    |          |   |
|                |        | TENT |                    |          |   |
|                |        | OF   |                    |          |   |
|                |        | A    |                    |          |   |
|                |        | PPLI |                    |          |   |
|                |        | CATI |                    |          |   |
|                |        | ON** |                    |          |   |
+----------------+--------+------+--------------------+----------+---+
|                | **L    |      | **REGIONAL**       | **G      |   |
|                | OCAL** |      |                    | ENERAL** |   |
+----------------+--------+------+--------------------+----------+---+
| **VALUE OF     | Af     |      | Affects:           | Affects: |   |
| BENEFIT**      | fects: |      |                    |          |   |
|                |        |      | -   an entire      | -   more |   |
|                | -      |      |     network,       |     than |   |
|                |    one |      |     region, or     |     one  |   |
|                |     or |      |                    |          |   |
|                |        |      | -   all Central    | network, |   |
|                |   more |      |     Office         |     or   |   |
|                |        |      |     organizations, |          |   |
|                |  field |      |     or             |  region, |   |
|                |        |      |                    |          |   |
|                |   faci |      | -   ideas approved | -   has  |   |
|                | lities |      |     for optional   |          |   |
|                |     or |      |     use in the     |   impact |   |
|                |     C  |      |     Department or  |          |   |
|                | entral |      |     an             |  VA-wide |   |
|                |        |      |                    |     or   |   |
|                | Office |      |    administration, |          |   |
|                |     or |      |     or             |  beyond. |   |
|                | ganiza |      |                    |          |   |
|                | tional |      | -   important area |          |   |
|                |     el |      |     of technology  |          |   |
|                | ements |      |     or             |          |   |
|                |     or |      |                    |          |   |
|                |        |      | -   automation.    |          |   |
|                |  staff |      |                    |          |   |
|                |     o  |      |                    |          |   |
|                | ffice, |      |                    |          |   |
|                |     or |      |                    |          |   |
|                |        |      |                    |          |   |
|                | -   a  |      |                    |          |   |
|                |        |      |                    |          |   |
|                |  minor |      |                    |          |   |
|                |        |      |                    |          |   |
|                | change |      |                    |          |   |
|                |     or |      |                    |          |   |
|                |        |      |                    |          |   |
|                |   corr |      |                    |          |   |
|                | ection |      |                    |          |   |
|                |     of |      |                    |          |   |
|                |     a  |      |                    |          |   |
|                |     VA |      |                    |          |   |
|                |        |      |                    |          |   |
|                |   form |      |                    |          |   |
|                |     ,  |      |                    |          |   |
|                |     p  |      |                    |          |   |
|                | olicy, |      |                    |          |   |
|                |     or |      |                    |          |   |
|                |        |      |                    |          |   |
|                |   proc |      |                    |          |   |
|                | edure, |      |                    |          |   |
|                |     or |      |                    |          |   |
|                |        |      |                    |          |   |
|                | -   op |      |                    |          |   |
|                | tional |      |                    |          |   |
|                |        |      |                    |          |   |
|                |    use |      |                    |          |   |
|                |     of |      |                    |          |   |
|                |     an |      |                    |          |   |
|                |        |      |                    |          |   |
|                |   idea |      |                    |          |   |
|                |     or |      |                    |          |   |
|                |        |      |                    |          |   |
|                |   proc |      |                    |          |   |
|                | edure, |      |                    |          |   |
|                |     or |      |                    |          |   |
|                |        |      |                    |          |   |
|                | -      |      |                    |          |   |
|                |  minor |      |                    |          |   |
|                |        |      |                    |          |   |
|                | change |      |                    |          |   |
|                |     in |      |                    |          |   |
|                |        |      |                    |          |   |
|                |    the |      |                    |          |   |
|                |        |      |                    |          |   |
|                |   area |      |                    |          |   |
|                |     of |      |                    |          |   |
|                |        |      |                    |          |   |
|                |   tech |      |                    |          |   |
|                | nology |      |                    |          |   |
|                |     or |      |                    |          |   |
|                |        |      |                    |          |   |
|                |  autom |      |                    |          |   |
|                | ation. |      |                    |          |   |
+----------------+--------+------+--------------------+----------+---+
| **MODERATE.**  | **Up   |      | **Up to \$1,500**  | **Up to  |   |
| Change or      | to     |      |                    | \        |   |
| contribution   | \      |      |                    | $3,000** |   |
| to an          | $500** |      |                    |          |   |
| operating      |        |      |                    |          |   |
| principle,     |        |      |                    |          |   |
| practice,      |        |      |                    |          |   |
| procedure or   |        |      |                    |          |   |
| program of     |        |      |                    |          |   |
| limited impact |        |      |                    |          |   |
| or use.        |        |      |                    |          |   |
+----------------+--------+------+--------------------+----------+---+

  ------------------ ---------------- -------------------- ----------------
                                      **EXTENT OF          
                                      APPLICATION**        

                     **LOCAL**        **REGIONAL**         **GENERAL**

  **SUBSTANTIAL.**   **Up to          **Up to \$3,000**    **Up to
  Significant or     \$1,500**                             \$5,000**
  important change,                                        
  contribution to,                                         
  or modification of                                       
  an operating                                             
  principle,                                               
  practice,                                                
  procedure or                                             
  program or service                                       
  to the public.                                           

  **EXCEPTIONAL.**   **Up to          **Up to \$5,000**    **Up to
  Complete revision  \$3,000**                             \$10,000**
  or initiation of a                                       
  major policy,                                            
  practice or                                              
  procedure that has                                       
  significant impact                                       
  on VA's mission.                                         
  Major improvement                                        
  in the quality of                                        
  a critical                                               
  product, activity,                                       
  program or service                                       
  to the public.                                           
  ------------------ ---------------- -------------------- ----------------

**NOTE: *\$50 is the minimum award that may be granted. ***

###### 

###### APPENDIX B. APPROPRIATE USES OF CASH AWARDS

+-----------------------------------+-----------------------------------+
| ***Appropriate***                 | ***Inappropriate***               |
+-----------------------------------+-----------------------------------+
| To Recognize:                     | -   perceived discrepancies in    |
|                                   |     VA's pay system               |
| -   a significant contribution    |                                   |
|     involving completion of a     | -   as a farewell gift            |
|     difficult project or          |                                   |
|     assignment of importance to   | -   to recognize good attendance  |
|     the mission of VA             |                                   |
|                                   | -   to recognize judicious use of |
| -   completion of a specific      |     sick leave                    |
|     assignment or project in      |                                   |
|     advance of an established     | -   to recognize performance of   |
|     deadline and/or with          |     additional duties where a     |
|     favorable results             |     temporary promotion was given |
|                                   |                                   |
| -   unusual initiative,           | -   to recognize additional hours |
|     innovation or creativity in   |     of work when overtime pay or  |
|     completion of work            |     compensatory time was         |
|     assignments resulting in      |     provided for those additional |
|     improved operations or        |     hours                         |
|     services                      |                                   |
|                                   | -   as an \"incentive\" to        |
| -   unusual courtesy or           |     encourage employees to work   |
|     responsiveness to customers   |     in a particular area or on a  |
|     which clearly demonstrates    |     particular shift              |
|     performance beyond the call   |                                   |
|     of duty and reflects          | -   as an \"incentive\" to retire |
|     favorably on the organization |                                   |
|     and VA                        | -   to recognize efforts in       |
|                                   |     connection with voluntary     |
| -   performance (without          |     participation as a canvasser  |
|     compensation of any nature)   |     for the Combined Federal      |
|     of additional duties over an  |     Campaign, Savings Bonds,      |
|     extended period of time       |     Blood Drives, etc.            |
|     during the absence of another |                                   |
|     staff member                  |                                   |
|                                   |                                   |
| -   an employee suggestion beyond |                                   |
|     the normal scope of the job   |                                   |
|     which results in benefits to  |                                   |
|     VA or the Government.         |                                   |
+-----------------------------------+-----------------------------------+

######## APPENDIX C. SPECIAL AWARDS PROGRAMS

The use of special awards programs to support organizational goals and
objectives, promote teamwork and emphasize organizational values is
strongly encouraged. Tremendous flexibility exists within VA's Employee
recognition Program to develop and tailor such programs to both meet the
needs of employees and the organization. For specific information on
establishing special organizational awards programs, consult part III,
paragraph 4, and part IV, paragraphs 1b and 2.

Following are some examples of awards programs, including criteria,
frequency and types of recognition. These programs can be used to
promote teamwork, peer recognition and support good customer relations
by permitting peer nomination and nomination by individuals outside of
the organization. The options for the types of contributions, who is
eligible to receive, who can nominate and form of recognition are many
and varied. For example, an entire awards program has been developed
using the Olympic Theme, with specially-designed medals for recipients
of the top honors.

***Example 1***

**Theme:** Employee of the Month/Employee of the Quarter/Year

**Criteria:** Outstanding employee efforts during the specified period
as evidenced by peers,

customers, management, etc.

**Type of Recognition:** Cash, time off, non-monetary item or any
combination of these forms

of recognition.

***Example 2***

**Theme**: Extra Mile, Pointing the Way, Setting the Tone, Customer
Service Club, Extra Touch

**Criteria:** Employees who consistently go above and beyond in serving
customers, who

display leadership or exemplary teamwork in serving the public.

**Type of Recognition:** Cash, time off, non-monetary item or any
combination of these forms

of recognition.

***Example 3***

**Theme**: Extra Touch Award, Heart of Gold, Pride in People, Sunshine
Award, Impact

Award, Helping Hands Award

**Criteria:** Recognize exceptional courtesy and responsiveness,
positive and friendly attitude,

willingness to pitch in and help others.

**Type of Recognition:** Cash, time off, non-monetary item or any
combination of these forms

of recognition.

**SPECIAL AWARDS PROGRAMS (CONTINUED)**

***Example 4***

**Theme:** Teamwork

**Criteria:** Exemplary teamwork and results as evidenced by customer

feedback, meeting and exceeding organizational goals and

objectives through effective team interaction and cooperation,

or supporting and demonstrating organizational values.

**Type of Recognition:** Cash, time off, non-monetary item or any
combination

of these forms of recognition.

In addition to the above examples, special programs can be established
to emphasize and recognize individuals or groups who promote and enhance
organizational and national goals such as equal opportunity,
cost-savings, quality improvement, and paperwork reduction.
**Non-monetary recognition in the form of certificates and pins only**
may also be used to recognize employees for dependability through
conservation of sick leave during specific periods or for those who
maintain large balances of sick leave.

[]{#AppIIID .anchor}**APPENDIX D. PREPARING AWARD
JUSTIFICATIONS/NOMINATIONS**

**1. SPECIAL CONTRIBUTION AWARD (SCA)**

a\. Special Contribution Award is used to recognize an act, service, or
achievement **exceeding normal job expectations** by an employee or
group of employees. For this reason, the justification should not read
like a statement of duties but should describe a specific contribution
to the organization or the Department and the benefits of that
contribution to VA.

b\. Although the process of determining the dollar amount of a SCA is
somewhat subjective unless there are measurable (tangible) dollars to
cite, there are some general guidelines to follow to help ensure that
the special contribution is properly justified and the expenditure of
appropriated funds is warranted.

c\. Typically, a well-written justification should take only four or
five paragraphs and be limited to under one page. Following are some
guidelines for formatting and content of those paragraphs:

\(1\) The first paragraph should serve as an introduction by stating the
name of the employee, team, or group being recommended for the award,
the award amount and summarizing (one or two sentences) the contribution
being recognized. For example, \"I am pleased to recommend Mary Smith
for a special contribution award of \$500. Ms. Smith is being recognized
for \...\"

\(2\) The second paragraph should provide a more detailed description of
the contribution including what the employee did, any significant
requirements or constraints involving the contribution, and any
obstacles the employee had to overcome in order to make the
contribution. This information should be described in context of the
impact on the organization, VA or the Nation. For example, streamlined
procedures to improve nationwide quality and timeliness of veterans
claims processing, new procedures to reduce or eliminate patient waiting
time at the local facility.

\(3\) The third paragraph should describe how the benefits identified in
the preceding paragraph were determined and, consequently, how the award
was calculated. For example, using the scale of awards based on
intangible benefits, identify the extent of the value of the
contribution \"local, regional or general\" and the value of the
contribution. Does the contribution being recognized represent a minor
change with limited impact or an exceptional change affecting a large
part of VA and its mission?

\(4\) The fourth paragraph should simply summarize the recommendation
and bring it to closure.

d\. For Special Contributions, the checklist appearing at the end of
this appendix (VA Form 4659a) may be attached to VA Form 4659 and serve
as the justification.

**2. GUIDE TO PREPARING HONOR AND EXTERNAL AWARDS NOMINATIONS**

a\. A key to ensuring that Department nominees receive full and fair
consideration in award competitions, both internal and external, is a
well-written nomination that is easy-to-understand. Even the most
noteworthy achievements may go unnoticed by an award selection committee
if the nomination is not skillfully presented. Additionally, some
sponsors require specific information in a specific format and will not
consider nominations, regardless of how great the contributions are, if
nominating procedures are not followed. Because there is often a very
short time frame in which to respond to the sponsor's request for
nominations, there is often no time to go back to the nominating
official to correct nominations or obtain additional information. In
such cases where the nomination is incomplete or errors are present, the
nomination may not be considered by the Department due to the deadline.
Common errors include typographical errors and use of acronyms that are
not defined at all or when first used.

b\. The following is intended to serve as a checklist by individuals
preparing award nominations for Departmental and external awards
programs to help ensure that the nomination is prepared in such a way as
to receive the greatest consideration. The checklist is divided into two
areas: General Information and Substantive Information.

######### 3. GENERAL INFORMATION

a\. Have the award announcement, criteria, and requirements been
thoroughly reviewed and is there a clear understanding of the type of
contribution that the award sponsor is seeking?

b\. Is the person assigned to develop the nomination a skilled writer?

c\. If not, has someone been assigned to edit the nomination to ensure
quality/accuracy?

d\. Is the nomination in the proper format?

e\. Has all requested information been provided in the appropriate
order?

f\. Is the nomination free of typographical, grammatical and punctuation
errors?

g\. Have all acronyms used in the package been defined the first time
they are used?

h\. Have you avoided abbreviations which might not be familiar to all
reviewers?

i\. Does the package present an overall neat appearance?

j\. Have signatures, endorsement letters, references, person to contact
for further information, pictures of nominees, or other similar items
been provided when required?

k\. Have nominees signed the release of information form?

l\. Have the appropriate number of copies been forwarded?

m\. Has a top level official (facility Director, Associate Director or
Chief of Staff) reviewed the nomination package before forwarding it to
Central Office?

**4. SUBSTANTIVE INFORMATION**

a\. Has all relevant information to support the nomination been
gathered? (Statistics, relevant information from veterans, veterans
groups or community leaders, newspaper clippings or other publicity,
etc.)

b\. Once gathered, has supporting documentation been analyzed to select
for use that which is most relevant to the award criteria and overall
purpose of the award?

c\. Has maximum use been made of the information which highlights VA\'s
mission of quality and compassionate service to the Nation\'s veterans
and their beneficiaries? (Particularly effective in award programs
stressing service to the public.)

d\. Have general statements been addressed by specific facts and
achievements? (It is not sufficient to say that someone has been an
effective administrator, manager, public servant, etc. Support such
statements with facts and examples that support such statements.)

e\. Has the scope of the nominee\'s achievements been adequately
portrayed? (The achievements of many VA employees go far beyond the
local level, e.g., achievements may be significant throughout an
occupational group or profession on a nationwide basis or have impact
not only on the total veteran population but on other major segments of
the Nation\'s or world\'s population.)

f\. Have dollar figures, workload figures, or other relevant statistics
been used? (Statistics are particularly effective for award programs
which recognize use of managerial skills resulting in savings, increased
productivity or efficiency levels, cost avoidance, etc.)

g\. When appropriate, does the nomination adequately portray the direct
influences/effects (e.g., saving lives, relieving pain, caring for the
disabled, assisting a grieving family, etc.) the nominee and his/her
achievements may have had on real people (veterans, their families,
beneficiaries, members of the local community, etc.)?

h\. When appropriate, has the nominee\'s activities outside the
Department of Veterans Affairs been properly emphasized (e.g., volunteer
work, public speaking, community involvement, publications, as
appropriate)?

i\. Is the narrative portion of the nomination clear and concise, does
it flow smoothly, and is it of an appropriate length? (Many award
programs specify the length of narrative justifications. For those that
do not, it is best to limit the narrative to the 2-4 page range. More
does not necessarily mean better.)

  ----------------------------------------------------- --------------------- ------------- -----------------------------------------
  ![](media/image4.png){width="0.42083333333333334in"   **Department of                     AWARD JUSTIFICATION
  height="0.24861111111111112in"}                       Veterans Affairs**                  

  **INSTRUCTIONS:** Use this form to provide the                                            
  justification for awards as an attachment to VA Form                                      
  4659, Recognition of High Level Performance. Check                                        
  the applicable type(s) of contribution in the first                                       
  column and briefly describe the accomplishment in the                                     
  corresponding box in the second column. The narrative                                     
  statement should clearly describe the specific                                            
  accomplishment and not merely paraphrase the type of                                      
  contribution listed in the first column. Include the                                      
  information regarding the benefit of the contribution                                     
  to the organization. See example below:                                                   

  **TYPE OF CONTRIBUTION**                                                    **CITE        
                                                                              SPECIFIC      
                                                                              EXAMPLE OF    
                                                                              EMPLOYEE\'S   
                                                                              (GROUP\'S)    
                                                                              EFFORT**      

  Automation, modification or reengineering of work                           The A team    
  process, practices or procedures                                            developed an  
                                                                              automated     
                                                                              system for    
                                                                              submission    
                                                                              and tracking  
                                                                              or xyz work   
                                                                              orders. This  
                                                                              decreased the 
                                                                              average time  
                                                                              to deliver    
                                                                              the service   
                                                                              to our        
                                                                              customers     
                                                                              from 5 to 3   
                                                                              days.         

  **CHECKLIST FOR SPECIAL CONTRIBUTION AWARD                                                
  RECOMMENDATIONS**                                                                         

  **TYPE OF CONTRIBUTION**                                                    **CITE        
                                                                              SPECIFIC      
                                                                              EXAMPLE OF    
                                                                              EMPLOYEE\'S   
                                                                              (GROUP\'S)    
                                                                              EFFORT**      

  Unusual Initiative                                                                        

  Creativity an/or innovation in solving a problem or                                       
  establishing a new procedure or practice                                                  

  Unusual effort in completion of assignment, task, or                        Due to        
  project                                                                     extended      
                                                                              absence of a  
                                                                              coworker, Ms. 
                                                                              Smith         
                                                                              provided      
                                                                              double        
                                                                              coverage from 
                                                                              March 13      
                                                                              through April 
                                                                              12,           
                                                                              performing    
                                                                              the essential 
                                                                              duties of     
                                                                              both jobs in  
                                                                              an exemplary  
                                                                              manner.       

  Unexpected benefits (*either tangible or intangible*)                                     
  to the organization or beyond from employee\'s                                            
  efforts                                                                                   

  Demonstration of a high level skill and ability in                                        
  completion of assignment or task                                                          

  Demonstration of exceptional teamwork or teambuilding                                     

  Exceptional courtesy or responsiveness to a customer                                      

  Preparation of exceptional written materials                                              

  Automation, modification or reengineering of work                                         
  processes, practices or procedures                                                        

  Other (*describe*)                                                                        

  Other (*describe*)                                                                        

  ADDITIONAL COMMENTS:                                                                      
  ----------------------------------------------------- --------------------- ------------- -----------------------------------------

VA Form 4659A

Mar 1998

[]{#AppIIIE .anchor}**APPENDIX E. DECISIONS RELATED TO AWARDS AND
NECESSARY RECOGNITION EXPENSES**

+----------+---+-----------+------------------------------------------+
| **IDEN   | * | **TOPIC** | **SUMMARY**                              |
| TIFIER** | * |           |                                          |
|          | D |           |                                          |
|          | A |           |                                          |
|          | T |           |                                          |
|          | E |           |                                          |
|          | * |           |                                          |
|          | * |           |                                          |
+----------+---+-----------+------------------------------------------+
| B-241987 | 4 | Necessary | Pursuant to the Government Employees     |
|          | / | Expenses  | Incentive Awards Act, Agency heads have  |
| 70 Comp. | 9 |           | discretion to issue travel orders and    |
| Gen. 440 | 1 | (*Per     | pay the travel expenses of the spouse of |
|          |   | Diem)*    | an employee award recipient to attend    |
|          |   |           | the awards ceremony. The travel          |
|          |   |           | authorizing official has broad           |
|          |   |           | discretionary authority under OPM        |
|          |   |           | guidance to establish the amount of per  |
|          |   |           | diem and the point of travel departure   |
|          |   |           | and return.                              |
+----------+---+-----------+------------------------------------------+
| B-236040 | 1 | Necessary | Permits an agency, under certain         |
|          | 0 | Expenses  | circumstances, to pay fees for its       |
| 70 Comp. | / |           | employees to attend local banquets where |
| Gen. 16  | 9 | *(Award   | they have been nominated by their agency |
|          | 0 | Banquet   | to receive an award from an interagency  |
|          |   | Fees)*    | coordinating group.                      |
+----------+---+-----------+------------------------------------------+
| 69 Comp. | 8 | Necessary | Permits an agency head to pay travel     |
| Gen. 38  | / | Expenses  | expenses for an employee and an          |
|          | 8 |           | employee's guest if his or her presence  |
| (B       | 9 | *(Travel  | would further the purposes of the awards |
| -233607) |   | for       | program.                                 |
|          |   | winner    |                                          |
|          |   | and       |                                          |
|          |   | guest)*   |                                          |
+----------+---+-----------+------------------------------------------+
| 66 Comp. | 6 | Necessary | Permits agency expenditures for          |
| Gen. 536 | / | Expenses  | refreshments at a ceremony conducted     |
|          | 8 |           | under the authority of the Government    |
| (B       | 7 | *(Ref     | Employees' Incentive Awards Act as a     |
| -223895) |   | reshments | \"necessary expense.\"                   |
|          |   | at        |                                          |
|          |   | cer       |                                          |
|          |   | emonies)* |                                          |
+----------+---+-----------+------------------------------------------+
| 65 Comp  | 7 | Necessary | Permits an agency head to provide for    |
| Gen. 738 | / | Expenses  | ***light refreshments*** in connection   |
|          | 8 |           | with a ceremony honoring Federal         |
| (B       | 6 | *(Ref     | employees under the Government Employees |
| -223319) |   | reshments | Incentive Awards Act, and permits        |
|          |   | at        | payments for such expenditures from      |
|          |   | cer       | appropriated funds. [See                 |
|          |   | emonies)* | also]{.underline} B-271511 (March 4,     |
|          |   |           | 1997), approving the use of appropriated |
|          |   |           | funds to purchase food or food vouchers  |
|          |   |           | for use as nonmonetary award under the   |
|          |   |           | Government Employees Incentive Awards    |
|          |   |           | Act.                                     |
+----------+---+-----------+------------------------------------------+
| 55 Comp. | 2 | Necessary | Permits an agency to pay for the travel  |
| Gen. 800 | / | Expenses  | of an attendant for a disabled employee  |
|          | 7 |           | requiring an attendant who must travel   |
| (B       | 6 | *(Travel  | to receive an award provided the         |
| -166802) |   | of        | employee otherwise was unable to attend  |
|          |   | attendant | the ceremony.                            |
|          |   | for       |                                          |
|          |   | disabled  |                                          |
|          |   | employee  |                                          |
|          |   | receiving |                                          |
|          |   | award)*   |                                          |
+----------+---+-----------+------------------------------------------+
| B-111642 | 5 | Necessary | Permits an agency to pay travel expenses |
|          | / | Expenses  | for a surviving spouse to attend an      |
|          | 5 |           | awards ceremony and receive an award     |
|          | 7 | *(Travel  | posthumously for a contribution made by  |
|          |   | for       | the decedent.                            |
|          |   | surviving |                                          |
|          |   | spouse to |                                          |
|          |   | receive   |                                          |
|          |   | award)*   |                                          |
+----------+---+-----------+------------------------------------------+

**DECISIONS RELATED TO AWARDS AND NECESSARY RECOGNITION EXPENSES
(CONTINUED)**

+--------+----+----------+---------------------------------------------+
| **     | ** | *        | **SUMMARY**                                 |
| IDENTI | DA | *TOPIC** |                                             |
| FIER** | TE |          |                                             |
|        | ** |          |                                             |
+--------+----+----------+---------------------------------------------+
| B-     | 1  | Entry    | Held that payment of a contest entry fee    |
| 172556 | 2/ | Fees     | may be permissible where the prize is       |
|        | 71 |          | awarded to the agency and not to the        |
|        |    | *(Co     | individual and where there is sufficient    |
|        |    | ntests)* | justification that the expense will further |
|        |    |          | the objects of the appropriation. The use   |
|        |    |          | of appropriated funds to enter other        |
|        |    |          | contests would depend upon the nature of    |
|        |    |          | the contest, the nature of the prizes and   |
|        |    |          | to whom they are awarded, and on the        |
|        |    |          | agency's justification that the expenses    |
|        |    |          | are necessarily incurred to carry out       |
|        |    |          | agency functions. NOTE: This case involved  |
|        |    |          | a general appropriation question. The       |
|        |    |          | Government Employees Incentive Awards Act   |
|        |    |          | was NOT the basis for the approving this    |
|        |    |          | appropriation. [See also]{.underline}       |
|        |    |          | B-247563.3 (April 5, 1996), where the       |
|        |    |          | Comptroller General denied a VA expenditure |
|        |    |          | to enter a contest involving a competitive  |
|        |    |          | fitness event where the event was deemed to |
|        |    |          | be a personal activity.                     |
+--------+----+----------+---------------------------------------------+
| B-     | 6/ | Award    | Permits the purchase, as a form of          |
| 256399 | 94 | Items    | recognition under the awards program, of    |
|        |    |          | items such as tickets to local sporting     |
|        |    |          | events or local amusement parks. See also   |
|        |    |          | B-271511 (March 4, 1997) permitting the use |
|        |    |          | of meals or food vouchers as informal       |
|        |    |          | recognition awards.                         |
+--------+----+----------+---------------------------------------------+
| B-     | 5/ | N        | Permits the FAA to procure 100 jackets at a |
| 243025 | 91 | ecessary | cost of \$50 each to be presented as        |
|        |    | Expenses | honorary awards finding that agencies have  |
|        |    |          | the authority to procure items at nominal   |
|        |    | *(Non-   | cost to be used as honorary awards under    |
|        |    | Monetary | the Incentive Awards Act.                   |
|        |    | Awards-J |                                             |
|        |    | ackets)* |                                             |
+--------+----+----------+---------------------------------------------+
| 67     | 3/ | N        | Permits the Defense Depot to purchase       |
| Comp.  | 88 | ecessary | telephones in the shape of a number \"1\"   |
| Gen.   |    | Expenses | for use as career service or honorary       |
|        |    |          | awards, but does not permit their use as    |
| (B-2   |    | *(Non-   | awards for employees' reduced usage of sick |
| 27559) |    | Monetary | leave.                                      |
|        |    | Awards - |                                             |
|        |    | #1       |                                             |
|        |    | Tele     |                                             |
|        |    | phones)* |                                             |
+--------+----+----------+---------------------------------------------+

**DECISIONS RELATED TO AWARDS AND NECESSARY RECOGNITION EXPENSES
(CONTINUED)**

+--------+----+----------+---------------------------------------------+
| **     | ** | *        | **SUMMARY**                                 |
| IDENTI | DA | *TOPIC** |                                             |
| FIER** | TE |          |                                             |
|        | ** |          |                                             |
+--------+----+----------+---------------------------------------------+
| B-     | 1  | N        | Permits the Army to purchase framed posters |
| 230062 | 2/ | ecessary | as \"prizes\" for winners of drawings held  |
|        | 88 | Expenses | at national conventions of student          |
|        |    | (*Non-   | organizations attended by the Army. The     |
|        |    | Monetary | expenditure was allowed because the purpose |
|        |    | Awards-p | of the prize was to collect names to        |
|        |    | osters)* | further the recruiting efforts, a specific  |
|        |    |          | mission for which funds were appropriated.  |
|        |    |          | NOTE: This case involved a general          |
|        |    |          | appropriation question. The Government      |
|        |    |          | Employees Incentive Awards Act was NOT the  |
|        |    |          | basis for approving this appropriation.     |
|        |    |          | [But see]{.underline} B-247563.3 (April 5,  |
|        |    |          | 1996), where the Comptroller General denied |
|        |    |          | VA recruitment expenditures for items such  |
|        |    |          | as shoelaces, pens and scissors that        |
|        |    |          | contained the VA logo.                      |
+--------+----+----------+---------------------------------------------+
| 46     | 2/ | Non-     | Authorizes honorary recognition for career  |
| Comp.  | 67 | monetary | service and retirement, but does not        |
| Gen.   |    | Only for | authorize cash awards based solely on       |
| 662    |    | Career   | length of service or retirement.            |
|        |    | Service  |                                             |
| (B-1   |    | Rec      |                                             |
| 60464) |    | ognition |                                             |
+--------+----+----------+---------------------------------------------+

[]{#AppIIIF .anchor}**APPENDIX F. TIME OFF AWARDS**

**1. GENERAL PROVISIONS**

a\. Time off awards may be granted to an individual or group of
employees for contributions that benefit the Department.

b\. The amount of a time off award is subject to the following:

\(1\) The minimum time off award is 4 hours, except for VHA full-time
\[title 38 employees paid on a daily basis\], who may only be granted
time off in increments of 1 day (8 hours equivalent).

\(2\) Time off awards will be granted in increments of 1 hour.

\(3\) Not more than 40 hours may be granted to an employee for a
specific contribution.

\(4\) The maximum amount of time off that may be granted to any employee
during a 12 month period is 80 hours.

\(5\) Time off must be used by the employee in increments of 1 hour,
except that VHA full-time \[title 38 employees paid on a daily basis\]
must use in 1-day increments.

c\. Normally, each time off award must be used within 180 days after the
date on which it was approved. At the request of the employee, a
supervisor may extend the period of time to use a time off award for an
additional 180 days. In no case may the total period for use of the
award exceed 1 year from the date the time off award was granted.
Failure to use an award within the prescribed period will result in the
employees forfeiture of any unused portion of the award.

d\. Time off awards may be transferred when an employee changes jobs or
organizations within VA. Time off awards may not be transferred to
another Federal agency if an employee leaves VA and, likewise, time off
will be forfeited upon an employee\'s separation from VA and may not be
treated as annual leave for lump sum payment purposes. Time off may not
be recredited to a former employee if reemployed by VA.

e\. Time off awards may not, under any circumstances, be converted to a
cash payment, to an employee or group of employees.

**2. COVERAGE.** \[Except as provided in VA Handbook 5017, Part III,
paragraph 3,\] employees who earn leave under the provisions of 5
U.S.C., chapter 63 or 38 U.S.C., chapter 74 and VA Handbook 5011, Hours
of Duty and Leave.

**3. EXCLUSIONS.** Employees in the Senior Executive Service and
equivalents appointed under title 5 or title 38.

**4. DETERMINING TIME OFF AWARDS**

a\. Time off awards may be used in conjunction with special use award
programs. The time off award may be granted in addition to any monetary
or honorary award already provided for in the design of the program.
\[T\]ime off may be \[combined with other awards in accordance with Part
I, para. 4 of this handbook\].

b\. When using time off to supplement a cash award, care should be taken
to ensure that total recognition is commensurate with the contribution.

c\. In determining the amount of time off to grant in recognition of a
single contribution or for sustained high-level achievement, use the
scale at the end of this appendix.

**5. ADDITIONAL RESPONSIBILITIES**

a\. To the extent possible, management should ensure that time off
granted as an incentive is used promptly both to reinforce the
motivational value of this form of recognition and to ensure that the
employee does not have to forfeit his or her time off award.

b\. In granting this form of recognition, management should weigh
organizational priorities to ensure that the employee will have an
opportunity to use the number of hours of time off being awarded within
the period available for its use.

**6. SCHEDULING, RECORDING AND ACCOUNTING FOR TIME OFF**

a\. Although time off is not a category of leave, current procedures for
requesting and scheduling use of discretionary leave (i.e., annual
leave, leave without pay) will apply to time off awards. At a minimum,
employees must request time off and obtain supervisory approval for
absence in advance of its use. Action on each request will be made in
consideration of factors which are normally considered in granting
discretionary leave.

b\. Each time off award granted must be recorded and tracked separately
to ensure use by its expiration date. Under the direction of
supervisors, timekeepers will be responsible for tracking time off
accumulated and used as a subsidiary record to the electronic timecard
for employees in their organization in accordance with instructions in
MP-6, part V, supplement 2.2.

c\. Upon \[reassignment\] of a VA employee to another VA facility,
supervisors will be responsible for ensuring that information on any
unused time off balance is provided to the servicing human resources
management office for recording on VA Form 3918, Intra-agency Transfer
Request, in the \"Remarks" section. The amount(s) of unused time off and
respective expiration date(s) must be annotated. Human Resources
Management officials at the gaining facility must ensure this
information is provided to the new supervisor who, in turn, will ensure
the appropriate timekeeper is provided this information for
recordkeeping purposes. Since time off awards have a specific expiration
date, expedited transfer of this information is essential.

**SCALE OF TIME OFF AWARDS**

**VALUE TO ORGANIZATION NUMBER OF HOURS**

### MODERATE Up to 12

Change or contribution to an

operating principle, practice,

procedure or program of limited

impact or use.

### SUBSTANTIAL Up to 24

Significant or important change,

contribution to or modification

of an operating principle,

practice, procedure or program

or service to the public.

### EXCEPTIONAL Up to 40

Complete revision or initiation

of a major policy, practice

or procedure that has significant

impact on VA\'s mission. Major

improvement in the quality of a

critical product, activity,

program or service to the public.

**EMPLOYEE RECOGNITION AND AWARDS**

[]{#PtIV .anchor}**PART IV. HONOR AND NON-MONETARY AWARDS**

**CONTENTS**

#### PARAGRAPH PAGE

1\. [VA HONOR AWARDS](#PtIVpar1) IV-1

2\. [NON-MONETARY AWARDS](#PtIVpar2) IV-3

3\. [EXTERNALLY SPONSORED AWARDS](#PtIVpar3) IV-3

**APPENDICES**

IV-A. [HONOR AWARDS GUIDE](#AppIVA) IV-A-1

IV-B. [CEREMONY CHECKLIST](#AppIVB) IV-B-1

**PART IV. HONOR AND NON-MONETARY AWARDS.**

**1.** []{#PtIVpar1 .anchor}**VA HONOR AWARDS.** These awards include a
suitably inscribed certificate, plaque, desk or office item or other
similar item that has an honor connotation. Honorary awards are an
integral part of the Department's recognition and awards program and are
available in a variety of forms to recognize a wide range of one-time or
career achievements. As with other forms of recognition, these awards
can also be used to support the achievement of organizational goals and
objectives and should be incorporated as much as possible into
organizational awards program. The costs associated with granting these
awards can be minimal and, depending on the level of approval and
presentation as well as the method of presentation, their value as a
motivator can be significant. Honor awards are distinguished from
non-monetary awards by the criteria, level of the official approving and
presenting the award and the few numbers of these awards granted.
Generally, the cost of such awards is less than \$50. (See appendix A of
this part and appendix C of part III for information on traditional
honor awards and other creative honor awards that have been used.)

a\. **Secretary's Honor Awards Program**

\(1\) The Secretary approves and personally presents a number of awards
to employees or groups of employees in recognition of exceptional
efforts that support VA's mission, distinguished VA or Federal careers,
outstanding community service and for acts of heroism. A listing of
these awards, along with criteria and nominating procedures, appears in
appendix A of this part. In addition to awards that recognize VA
employees, the Secretary also recognizes contributions by private
citizens or private organizations who make contributions in support of
VA's mission.

\(2\) Awards Liaisons will prepare VA Form 50-1, Request for Security
Clearance, on all employees in their organization being recommended for
an award by the Secretary. In unique or unusual circumstances, a request
to waive this requirement with appropriate justification may be made to
the Assistant Secretary for Human Resources and Administration.

b\. **Organizational Honor Awards Programs.** Key VA officials are
strongly encouraged to establish honor awards programs to supplement
those granted by the Secretary which primarily focus on significant
contributions to the goals and objectives of their organization. A
listing of some of these awards, along with criteria, appears in
appendix A of this part.

c\. **Service Recognition**

\(1\) **Length of Service.** While not technically an award because an
employee need not perform above job requirements to be recognized,
service recognition is an accepted part of VA's employee recognition and
awards program. Service pins and certificates are available starting
with 10 years of service through 50 years at 5-year intervals and should
be presented as close as possible to the employee's anniversary date.

**NOTE:** *Service Awards at 50 years or above are from the Secretary.
(See appendix A of this part for information on processing service
awards for 50, 55, 60 and 65 years of service.)*

\(2\) **Approving Officials**

\(a\) Key officials are authorized to present other non-monetary items,
particularly for service of 30 years of more, in addition to the VA-wide
pins and certificates.

**NOTE:** *Cost implications of providing such items should be
considered, particularly for the lower years when a large number of
employees will reach these milestones*.

\(b\) Key officials will sign service award certificates or may
redelegate this authority to a lower level.

\(3\) **Service Computation.** Credit is given for all Federal service,
both creditable military and civilian. The length of service is based on
the employee's service computation date except for retired members of
the uniformed services.

\(4\) **Recognition at the Time of Retirement**. Since awards are
intended to not only recognize employees for their special efforts, but
are intended to motivate the recipient and others who witness the
presentation, generally it is inappropriate to reward employees
monetarily when they leave VA service either through retirement or
separation. It may be fitting and appropriate to consider awarding some
form of honor or nonmonetary award in recognition of their dedicated
efforts to support VA's mission. Several options are available to
recognize an employee leaving VA. The type of recognition chosen and the
level at which it is approved should correspond to the scope and
importance of career achievements and/or the level of dedication and
exceptional service to VA.

\(a\) **Retirement Certificate (and matching pin).** The retirement
certificate can be given to any employee leaving VA service through
retirement. The retirement pin may also be given.

\(b\) **Certificate of Commendation.** A certificate, bearing a
personalized citation and signed by a key official for significant
contributions to an organization or the Department.

\(c\) **Outstanding Career Award.** A certificate with generic citation
which recognizes outstanding accomplishments either within or outside
normal job requirements over a prolonged period of time.

\(d\) **Exemplary Service Award (formerly Honor Award).** A certificate,
bearing a personalized citation and signed by the head of an
organization, presented for contributions of major significance to an
organization or the Department. Typically, if given at retirement, the
award recognizes exceptional career contributions.

\(e\) **Distinguished Career Award.** A certificate, bearing a generic
citation, suitably framed with a gold medal, and a lapel pin. This award
recognizes an individual who has made significant contributions that
have VA-wide or national impact.

d\. **Documentation.** Unless otherwise indicated, recommendations for
Honor Awards are submitted on VA Form 4659.

**2.** []{#PtIVpar2 .anchor}**NON-MONETARY AWARDS**

a\. **Non-monetary Awards.** Non-monetary awards are becoming one of the
more popular types of incentives used in VA for a number of reasons. The
nominal cost (generally up to \$50) of such items in an era of declining
budgets and limits on spending, the ability to have such items on hand
to be used to immediately recognize an employee or team efforts, and the
variety of items that can be used that provide a unique and different
incentive for employees. Such incentives, when used to immediately
reinforce an employee contribution of limited impact and value, can be
as, if not more, effective than cash in motivating an employee or group
of employees.

b\. **Non-monetary Versus Honor Awards.** Although these forms of
recognition may overlap (a certificate can be both an honor award and a
non-monetary award), these forms of recognition are distinguished
generally by the level of contribution required and level at which they
are approved and presented. Typically honor awards recognize exceptional
contributions of great importance to the Department. As with any form of
recognition used, the recommending official should try to ensure that
the recognition being suggested both fits the contribution and the
employee(s) being recognized. For example, a non-monetary award item
would be inappropriate to recognize a significant contribution such as a
medical breakthrough but might be appropriate to give someone to thank
them for completing a rush assignment.

c\. **Types of Non-monetary Awards.** A full range of items from a
certificate of appreciation, to a gift certificate to a favorite
restaurant, to an item the employee can wear such as a T-shirt, jacket
or scarf to an appropriate desk item such as a calculator, pen, clock,
radio, etc. are available using appropriated funds. These items can only
be procured when used in connection with a formally established award
program or to be used in connection with recognition. Such use must be
documented in writing when ordering. (See appendices C and E of part III
for examples of non-monetary incentives used with special awards
programs and decisions on the appropriateness of such items.)

d\. **Inappropriate Uses.** Items purchased under the authority of VA's
employee recognition program may not be given away randomly, but must be
used as recognition for an employee's or group's efforts. For example,
items with no intrinsic value such as buttons and magnets handed out in
connection with public service recognition week, or nurses week or for a
historical event like the 50th anniversary of the signing of the GI Bill
are not considered awards under VA\'s employee recognition programs but
are considered mementos as there is no linkage between the item being
handed out and a special act, service or achievement by the employee.
For further information on the appropriateness of mementos, consult
guidance issued by the Office of Financial Policy.

**3.** []{#PtIVpar3 .anchor}**EXTERNALLY SPONSORED AWARDS**

a\. The Department is invited to participate in a number of externally
sponsored honor awards programs which offer the opportunity to further
recognize the achievements of VA employees. Appendix A of this part
contains a list of a number of external awards programs in which VA has
traditionally participated. In addition, there are many local or
regional awards programs announced each year in which field facilities
may participate. Officials should explore every opportunity to recognize
the exceptional achievements of VA employees and publicize their efforts
both within VA and beyond.

b\. A Release of Information Statement is requested to be signed by each
employee nominated for an external honor award. This statement, once
signed, gives VA the right to disclose the contents of the nomination to
other sources, as requested, for the purpose of publicity. The personal
privacy of an employee who declines the release of such information
should be safeguarded.

c\. Awards Liaisons will prepare VA Form 50-1 on all employees being
recommended by their organization for an external award that is approved
by the Secretary. In unique or unusual circumstances, a request to waive
this requirement with appropriate justification may be made to the
Assistant Secretary for Human Resources and Administration.

[]{#AppIVA .anchor}**APPENDIX A. HONOR AWARDS GUIDE**

This appendix provides information regarding the following honor awards:

1\. Secretary's honor awards

2\. Internal and external honor awards

3\. Organizational awards

4\. Service awards from the Secretary (50, 55, 60, + 65 years of
service)

**1. SECRETARY'S HONOR AWARDS*\****

+------+-----+-----------------------------------+-----------+-------+
| Type | El  | Criteria                          | Form of   | Due   |
| of   | igi |                                   | Award     | Date  |
| A    | bil |                                   |           |       |
| ward | ity |                                   |           |       |
+------+-----+-----------------------------------+-----------+-------+
| Exc  | Any | In recognition of outstanding     | Gold      | At    |
| epti | VA  | contributions of major            | Medal and | any   |
| onal | em  | significance to VA, the Federal   | Citation  | time  |
| Ser  | plo | Government or the Nation,         | signed by | a     |
| vice | yee | including exceptional leadership, | the       | co    |
| A    | or  | skill or ability in               | Secretary | ntrib |
| ward | gr  | administration of a major         | and       | ution |
|      | oup | program, extraordinary initiative | framed. A | me    |
|      | of  | or creativity in the development  | lapel pin | eting |
|      | VA  | of a major improvement;           | is also   | cri   |
|      | emp | exceptionally successful use of   | provided. | teria |
|      | loy | human resources as evidenced      | When      |       |
|      | ees | through high workforce            | granted   | has   |
|      |     | productivity, a major             | to a      | been  |
|      |     | contribution to science and       | group,    | made. |
|      |     | technology, an exceptional        | the group | Nom   |
|      |     | contribution in the public        | will      | inees |
|      |     | interest related to official      | receive   | for   |
|      |     | employment or exceptional         | one award |       |
|      |     | accomplishment significantly      | and no    | this  |
|      |     | contributing to VA's mission.     | lapel     | award |
|      |     | **NOTE:** *Award is not to be     | pins will | could |
|      |     | used as a retirement or farewell  | be        | have  |
|      |     | award unless cumulative career    | provided. | rec   |
|      |     | achievements warrant this high    |           | eived |
|      |     | level of recognition*.            |           | M     |
|      |     |                                   |           | erito |
|      |     |                                   |           | rious |
|      |     |                                   |           | Se    |
|      |     |                                   |           | rvice |
|      |     |                                   |           | A     |
|      |     |                                   |           | ward. |
+------+-----+-----------------------------------+-----------+-------+
| Mer  | Any | Granted in recognition of         | Silver    | At    |
| itor | VA  | significant contributions to the  | Medal and | any   |
| ious | em  | Department that approach but do   | Citation  | time  |
| Ser  | plo | not meet the standards for the    | signed by | a     |
| vice | yee | Exceptional Service Award.        | the       | co    |
| A    | or  | Typically these awards are used   | Secretary | ntrib |
| ward | gr  | as a stepping stone to receipt of | and       | ution |
|      | oup | VA's highest honor, the           | framed. A | me    |
|      | of  | Exceptional Service Award.        | lapel pin | eting |
|      | VA  |                                   | is also   | cri   |
|      | emp |                                   | provided. | teria |
|      | loy |                                   | When      |       |
|      | ees |                                   | granted   | is    |
|      |     |                                   | to a      | made. |
|      |     |                                   | group,    |       |
|      |     |                                   | the group |       |
|      |     |                                   | will      |       |
|      |     |                                   | receive   |       |
|      |     |                                   | one award |       |
|      |     |                                   | and no    |       |
|      |     |                                   | lapel     |       |
|      |     |                                   | pins will |       |
|      |     |                                   | be        |       |
|      |     |                                   | provided. |       |
+------+-----+-----------------------------------+-----------+-------+
| D    | Any | This is the highest award that    | Gold      | Any   |
| isti | VA  | can be given to an employee       | Medal and | time  |
| ngui | em  | leaving the Department and        | Citation  | an    |
| shed | plo | recognizes cumulative             | signed by | emp   |
| Ca   | yee | achievements of an employee who   | the       | loyee |
| reer | who | has rendered truly distinguished  | Secretary |       |
| A    | is  | service throughout a VA career.   | and       | me    |
| ward | re  | It may be granted for             | framed. A | eting |
|      | tir | accomplishments over a prolonged  | lapel pin |       |
|      | ing | period involving the exercise of  | is also   | cri   |
|      | or  | authority or judgment in the      | provided. | teria |
|      | dep | public interest and in            |           |       |
|      | art | advancement of VA's mission or    |           | l     |
|      | ing | for professional, scientific, or  |           | eaves |
|      | VA  | administrative achievement that   |           | VA.   |
|      |     | received widespread recognition   |           |       |
|      |     | both within and outside of VA.    |           |       |
|      |     | Nomination should cite tangible   |           |       |
|      |     | evidence of employee's            |           |       |
|      |     | contributions to VA. It is        |           |       |
|      |     | expected that individuals         |           |       |
|      |     | nominated for this award will     |           |       |
|      |     | have received other recognition   |           |       |
|      |     | during their career.              |           |       |
+------+-----+-----------------------------------+-----------+-------+

SECRETARY\'S HONOR AWARDS (CONTINUED)

+------+-------+-------------------------------------+---------+------+
| Type | E     | Criteria                            | Form of | Due  |
| of   | ligib |                                     | Award   | Date |
| A    | ility |                                     |         |      |
| ward |       |                                     |         |      |
+------+-------+-------------------------------------+---------+------+
| A    | Any   | For exhibiting great courage with   | A       | As   |
| ward | VA    | voluntary risk of personal safety   | plaque  | soon |
| for  | emp   | to prevent the loss of human life   | from    | as   |
| V    | loyee | or government property.             | the     |      |
| alor | or    | Contributions typically will be job | Sec     | poss |
|      | group | related although non-job related    | retary. | ible |
|      | of VA | acts of heroism may be considered.  | An      | a    |
|      | emplo | For those contributions             | hon     | fter |
|      | yees. | representing good deeds where       | orarium |      |
|      |       | personal safety and welfare of      | of up   | such |
|      |       | employee is not threatened, a       | to      | an   |
|      |       | Secretary's Commendation can be     | \$1,500 | act  |
|      |       | considered. A commendation can also | can     |      |
|      |       | be considered more appropriate for  | also be | or   |
|      |       | non-work related acts of heroism.   | awarded | deed |
|      |       |                                     | by the  |      |
|      |       |                                     | emp     | occ  |
|      |       |                                     | loyee's | urs. |
|      |       |                                     | key     |      |
|      |       |                                     | of      |      |
|      |       |                                     | ficial. |      |
+------+-------+-------------------------------------+---------+------+
| Cer  | A VA  | Granted for special efforts in the  | Cert    | At   |
| tifi | emp   | public interest in relation to      | ificate | any  |
| cate | loyee | official employment of such         | of      | time |
| of   | or    | outstanding merit that recognition  | Comme   |      |
| C    | group | at the Secretary's level is         | ndation | that |
| omme | of    | appropriate. It may also be used at | with    | crit |
| n-da | emplo | retirement or departure from VA to  | c       | eria |
| tion | yees. | recognize outstanding career        | itation |      |
|      | May   | achievements that approach but do   | signed  | are  |
|      | also  | not meet the criteria for the       | by the  | met* |
|      | be    | Secretary's Distinguished Career    | Sec     | *.** |
|      | gr    | Award (DCA).                        | retary. |      |
|      | anted |                                     |         |      |
|      | to    |                                     |         |      |
|      | pr    |                                     |         |      |
|      | ivate |                                     |         |      |
|      | citi  |                                     |         |      |
|      | zens. |                                     |         |      |
+------+-------+-------------------------------------+---------+------+
| Cer  | A VA  | This is a general purpose award     | Cert    | At   |
| tifi | emp   | that may be granted to an           | ificate | any  |
| cate | loyee | individual VA employee, group of    | of      | time |
| of   | or    | employees or private citizens for   | Appre   |      |
| A    | group | special contributions in the public | ciation | to   |
| ppre | of    | interest that is related to         | signed  | s    |
| ci-a | emplo | official employment and is of such  | by the  | erve |
| tion | yees. | outstanding merit that an honor     | Sec     | as   |
|      | May   | award granted at a lower            | retary. |      |
|      | also  | organizational level would be       |         | an   |
|      | be    | inadequate. This award may also be  |         | offi |
|      | gr    | granted for work-related or         |         | cial |
|      | anted | non-work-related acts of heroism in |         |      |
|      | to    | which the employee\'s life was not  |         | t    |
|      | pr    | endangered. It may also be granted  |         | hank |
|      | ivate | at time of retirement to recognize  |         | you. |
|      | citi  | cumulative career achievements      |         |      |
|      | zens. | which approach but do not meet the  |         |      |
|      |       | standards for the Secretary\'s DCA. |         |      |
|      |       | The award is a certificate with     |         |      |
|      |       | citation.                           |         |      |
+------+-------+-------------------------------------+---------+------+

***Nominating Procedures**: VA Form 4659, along with appropriate
narrative justification, must be submitted through appropriate*

*channels and approved (or concurred in) by the organization's key
official, prior to being forwarded to the Office of Human Resources*

*Management for processing.*

\*Additional competitive awards, such as Olin E. Teague, Hands & Heart,
Equal Employment Opportunity, etc. are announced

throughout the year. Brief descriptions of such awards appear in the
internal and external awards chart.

####### 2. INTERNAL AND EXTERNAL HONOR AWARDS

Following is a listing of Honor Awards programs sponsored by the
Secretary of Veterans Affairs and outside organizations to recognize VA
employees or organizations for their contributions to public service.
The list is not all-inclusive as there are many local and regional
awards programs which are not included. Please consult your local human
resources office or human resources liaison for additional information
on these awards.

**Olin E. Teague Award (VA)** A VA award program to recognize the

achievements in the rehabilitation and

improvement in the quality of life of war-

injured veterans. The award is honorary.

**Public Service Excellence Awards** To pay tribute to public
organizations whose achievements exhibit the highest standard of
excellence, innovation and accomplishments. The awards are honorary.

**Secretary\'s Outstanding Volunteer Awards** To recognize an individual
or group of Central

(VACO only) Office employees whose contributions to volunteer

activities within their communities serve as

examples of public involvement by Federal

employees. The awards are honorary.

**Secretary\'s Award for Outstanding** To recognize a VA employee who
has performed in

**VA Employee with Disabilities (VA)** a consistently outstanding manner
despite physical

limitations.

**Awards for Achievement in Information** To provide special recognition
of senior executives **Technology**/American Management Systems and
professionals who have made significant

contributions to their organizations through especially effective use of
computer systems and communications technology. The awards are honorary.

**Mary D. Pinkard Leader in Federal** To recognize Federal employees
whose

**Equity** **Award**/Federally Employed Women contributions have
advanced the cause of equity

Legal and Education Fund in Federal employment, at personal and
professional

risk to themselves, and who have provided a

positive role model to other Federal employees.

The awards are honorary.

**National Capital Area Chapter of** To recognize outstanding
contributions to the

**ASPA Awards/**American Society of field of public administration and
to the Chapter.

Public Administration (ASPA) There are four categories of awards: (1)
the

Outstanding Public Service Awards; (2) the

Elmer B. Staats Award for accountability in

Government; (3) the Chapter Service Awards;

and (4) the Special Recognition Awards.

The awards are honorary.

**OPM Director\'s Awards for Out-** To (1) recognize Federal
organizations which

**standing Federal Health/Fitness** provide effective health/fitness
programs for their

**Programs**/ Office of Personnel employees; (2) encourage the
establishment/

Management (OPM) improvement of quality health/fitness programs;

and (3) identify and publicize exemplary health/

fitness programs that may serve as models for other

organizations. Ten honorary awards are given annually.

**GEICO Public Service Awards**/ To recognize career Federal employees
for

Government Employees significant achievement and contribution in each

Insurance Company (GEICO) of the following categories: (1) Substance
Abuse Prevention Treatment; (2) Fire Prevention and Safety; (3) Physical
Rehabilitation; and (4) Traffic Safety and Accident Prevention. A plaque
and a \$2,500 cash

award are presented to the winner in each of the

four categories.

**Emmett Leahy Award**/Institute of To recognize outstanding individual
accomplish-

Certified Records Managers ments and professional contributions which
have

significantly advanced the information and records

management profession. This award is honorary.

**Air Force Association\'s VA** To recognize significant contributions
to the mission

**Employee of the Year Award** of VA/Air Force Association by an
employee or

group of employees, with emphasis on the achieve-ments of VA employees
in serving America\'s veterans. It increases public knowledge and
appreciation

of the dedication and personal commitment of VA employees and encourages
VA employees to strive for excellence in their daily work. No
announcement is issued. Candidates for this program are individuals who
received consideration for other internal/ external award programs. VACO
manages this program. The award is a plaque, presented at the annual AFA
convention in Washington, DC.

**Secretary\'s Annual Equal Employment** A VA award program to recognize
and highlight

**Opportunity Awards (VA)** achievements made by VA employees in
furthering

VA\'s goals in the area of equal opportunity. The awards are a plaque
and cash award.

**Executive Excellence Awards**/ To recognize career senior executives
who have

Senior Executives Association made significant contributions to
improving the

efficiency, effectiveness and productivity of the Federal Government as
well as those whose performance has improved the image of the career
Senior Executive Service. The awards are honorary.

**Secretary\'s Hands and Heart Award (VA)** A program to recognize an
employee in each

medical facility who consistently does the most

to provide emotional support, help, and guidance

to patients, above and beyond the call of duty. It is emphasized that
eligibility for this award encompasses the whole spectrum of personnel
involved in direct patient care. The awards are honorary.

**IPMA Leading Edge Awards**/ To recognize Federal employees in the
personnel

International Personnel Management administration career field for
singular accomplish-

Association (IPMA) ments, and to encourage greater achievement among

all Federal employees in the personnel administration

field. The awards are honorary.

**Roger W. Jones Award for Executive** To recognize career executives in
the Federal

**Leadership**/The American University Government whose Leadership has
resulted in

outstanding organizational achievement and who have

successfully fostered the development of managers

and executives for career service. The awards are honorary.

**Executive of the Year Award**/Federal To recognize extraordinary
achievement in executive

Executive Institute Alumni Association management and leadership in
Federal, state

and local governments. The award is honorary.

**Donald L. Scantlebury Memorial Awards**/ To recognize senior financial
management executives

Joint Financial Management Improvement who, through outstanding and
continuous

Program leadership in financial management, have been

principally responsible for significant economies,

efficiencies and improvements in Federal,

state, or local government. The awards are honorary.

**The William A. Jump Memorial Award**/ To recognize and encourage
outstanding and

The William A. Jump Memorial Foundation deserving career employees
(under the age of 37)

for sustained growth, development, integrity, and interest in the field
of public administration. The awards are honorary.

**Common Cause Annual Public Service** To recognize public servants,
citizen activists,

**Achievement Awards**/Common Cause elected officials at all levels of
government reporters, or other citizens who have made an outstanding
contribution to the public interest in the areas of

government performance and integrity. The awards

are honorary.

**Arthur S. Flemming Awards**/Downtown To honor outstanding Federal
employees

### Jaycees of Wash., D.C. (under 40 years of age) who have performed {#jaycees-of-wash.-d.c.-under-40-years-of-age-who-have-performed .unnumbered}

meritorious work for the Government.

The purpose of these awards is to attract outstanding

persons to the Federal Government, to encourage

high standards of performance in the Federal

service, and to enhance appreciation of our form

of Government and the opportunities it represents.

The awards are honorary.

**Women in Science and Engineering** To recognize a specific or special
scientific

**Awards**/Interagency Committee for or technical contribution by a
woman scientist

Women in Science and Engineering or engineer in the Federal service in
facilitating the advancement of women in science or engineering. The
awards are honorary.

**National Public Service Awards**/American To pay tribute to public
service and practitioners

Society for Public Administration whose careers exhibit the highest
standard of

National Academy of Public Administration excellence, dedication and
accomplishment. These

awards underscore the need to have creative and

highly skilled individuals as managers of complex

and demanding government functions. The awards are

honorary.

**Innovations in American Government** To recognize various programs,
sponsored by the

Ford Foundation and particularly those which involve the John F. Kennedy
School of Government interagency collaboration at Harvard University,
tap the creativity of frontline employees, reshape agency missions and
routines, or entail significant policy

departures. Grants of \$100,000 will be awarded to the top 15 programs
chosen by the National Selection Committee. Fifteen finalists will
receive grants of \$20,000.

**FTS 2000**/General Services Administration To recognize those
individuals and groups who,

in their use of FTS services (including local telecommunications
services), have improved the quality and/or cost effectiveness of
telecommunication services for their agency or FTS program.

**Henry Betts**/Prince Charitable Trusts This award honors an individual
who has made significant contributions to the quality of life for people
living with physical disabilities. The

recipient will receive a \$50,000 prize and a commemorative crystal.

**Frontrunner Awards** To recognize outstanding women who have excelled

sponsored by the Sara Lee Corporation in four areas: the arts, business,
government and the

humanities. One recipient in each category will receive a
specially-designed crystal and copper sculpture. In addition, \$25,000
per winner will be donated to a not-for-profit women's organization of
the recipient's choice.

**OPM Work and Family Programs** To recognize those Federal
organizations that

are: providing innovative and effective work and family programs.
Organizations will receive a plaque

and a congratulatory letter.

**3. ORGANIZATIONAL AWARDS\***

+-------+-------+---------------------------------+----------+------+
| Type  | E     | Criteria                        | Form of  | Due  |
| of    | ligib |                                 | Award    | Date |
| Award | ility |                                 |          |      |
+-------+-------+---------------------------------+----------+------+
| Exem  | Any   | This is the highest award given | A        | As   |
| plary | VA    | by an organization head and     | pers     | soon |
|       | emp   | recognizes distinguished        | onalized | as   |
| Se    | loyee | accomplishment(s) within the    | cer      | poss |
| rvice | or    | organization, including         | tificate | ible |
| Award | group | extraordinary leadership,       | signed   | a    |
|       | of VA | skill, or ability in            | by the   | fter |
|       | emplo | administration or performance   | orga     | such |
|       | yees. | of duty; employment-related     | nization | an   |
|       |       | heroism, outstanding deeds of   | head.    | act  |
|       |       | courage, competency in an       |          | or   |
|       |       | emergency, or for outstanding   |          | deed |
|       |       | contributions in the public     |          | occ  |
|       |       | interest related to official    |          | urs. |
|       |       | employment. May also be used    |          |      |
|       |       | for retirement purposes when    |          |      |
|       |       | career achievements warrant     |          |      |
|       |       | recognition at this level.      |          |      |
+-------+-------+---------------------------------+----------+------+
| Co    | A VA  | Granted for special efforts in  | Cer      | At   |
| mmend | emp   | the public interest in relation | tificate | any  |
| ation | loyee | to official employment of such  | of       | time |
|       | or    | outstanding merit that          | Comm     | that |
|       | group | recognition at the organization | endation | crit |
|       | of    | head's level is appropriate. It | with     | eria |
|       | emplo | may also be used at retirement  | pers     | are  |
|       | yees. | or departure from VA to         | onalized | met. |
|       | May   | recognize outstanding career    | citation |      |
|       | also  | achievements that approach but  | signed   |      |
|       | be    | do not meet the criteria for    | by the   |      |
|       | gr    | higher level recognition.       | orga     |      |
|       | anted |                                 | nization |      |
|       | to    |                                 | head.    |      |
|       | pr    |                                 |          |      |
|       | ivate |                                 |          |      |
|       | citi  |                                 |          |      |
|       | zens. |                                 |          |      |
+-------+-------+---------------------------------+----------+------+
| C     | A VA  | This is a general purpose award | Cer      | At   |
| ertif | emp   | that may be granted to an       | tificate | any  |
| icate | loyee | individual VA employee, group   | of       | time |
| of    | or    | of employees or private         | Appr     | to   |
| Ap    | group | citizens for special            | eciation | s    |
| preci | of    | contributions in the public     | signed   | erve |
| ation | emplo | interest that may or may not be | by the   | as   |
|       | yees. | related to official employment. | orga     | an   |
|       | May   | This award may also be granted  | nization | offi |
|       | also  | for work-related or             | head.    | cial |
|       | be    | non-work-related acts of        |          | t    |
|       | gr    | heroism in which the            |          | hank |
|       | anted | employee\'s life was not        |          | you. |
|       | to    | endangered. It may also be      |          |      |
|       | pr    | granted at time of retirement   |          |      |
|       | ivate | to recognize cumulative career  |          |      |
|       | citi  | achievements which approach but |          |      |
|       | zens. | do not meet the standards for   |          |      |
|       |       | the higher recognition. The     |          |      |
|       |       | award is a certificate with     |          |      |
|       |       | citation.                       |          |      |
+-------+-------+---------------------------------+----------+------+

\*Organizations may establish additional honor awards programs tied to
accomplishment of organizational goals and objectives.

**4. PROCEDURES FOR REQUESTING SERVICE AWARDS FROM THE SECRETARY**

**(50, 55, 60, AND 65 YEARS OF SERVICE)**

a\. Extraordinary careers spanning 50 years or more of Federal service
are recognized by the Secretary with a personal letter, signed
certificate and pin. For 55, 60 and 65 years of service, recognition
includes a letter from the President and \[gift box\] from the
Secretary.

b\. Requests for such recognition should be prepared and submitted as
soon as possible (preferably not later than 30 days prior to the
eligibility date) to ensure timely recognition of these rare and
exceptional service milestones. The request can be in the form of a
memorandum to the Deputy Assistant Secretary for Administration (035),
through appropriate organizational channels. Within VHA, requests should
be submitted through appropriate local organizational channels to the
Director, Management Support Office (\[10A2A\]), VA Central Office. To
ensure proper and timely processing, the following information should be
included with your request:

\(1\) Full name of the employee, including any titles, and whether the
letter should be addressed to Mr., Ms. or Mrs.;

\(2\) Employee's title, facility name (or VACO organization) and mailing
address;

\(3\) Employee's Service Computation Date (please verify the date before
submitting request);

\(4\) Total years of service (broken down by dates of service for
civilian positions held, position titles, and Federal department or
agency). If the employee has military service, include the years of
service, rank and branch of service;

\(5\) Date employee achieves service milestone;

\(6\) Brief statement or listing of awards/honors received;

\(7\) Information on ceremonial arrangements (who will present and when
ceremony is planned); and

\(8\) Contact person and phone number in case additional information is
needed.

[]{#AppIVB .anchor}**APPENDIX B. CEREMONY CHECKLIST**

1\. Just as it is important that the recognition granted match the
contribution that was made, the method of presentation should also match
the individual and the contribution made. For on-the-spot or
non-monetary award items, there may be little ceremony involved and if a
ceremony is held, it might be brief and informal. For the more
prestigious awards granted, a more formal setting or event may be
appropriate. Regardless of the method of presentation selected, it is
important to publicize employee achievements and recognition, even minor
ones. Such publicity not only is a source of pride to the recipient of
the recognition, but serves as an incentive to others to make
contributions above and beyond job requirements and shows management\'s
commitment to recognizing such efforts.

2\. You may find the following checklist of areas/items helpful in
planning an event:

a\. Establish the date of the ceremony based on the availability of key
officials/speakers/presenters and, of course, recipients;

b\. Budget for such an event (cost of award(s), reception, decorations,
etc.);

c\. Invitation list and invitations \-- establish RSVP date at least a
week in advance of event to make final arrangements for refreshments;

d\. Confirm the availability of people who may need to be there - 1)
Master of Ceremonies, 2) Key Officials, 3) Photographer, 4) Chaplain,
etc. (helpful to do in writing);

e\. Determine location for event;

f\. Arrange for podium or microphone for speakers (if necessary);

g\. Make up and price ceremonial booklet, including the anticipated
numbers;

h\. Procure awards, prepare certificates, etc, (including getting
certificates signed and framed, arrangements for checks if monetary
awards are involved, etc.);

i\. Determine food selections (including paper products, utensils,
beverages);

j\. Determine food source \-- canteen, caterer, ask for donations of
light refreshments from employees;

k\. Plan and procure modest decorations, including flower arrangements,
corsages/boutonnieres for recipients;

1\. Determine if travel expenses are justified (and therefore
authorized) and any necessary arrangements in connection with such
travel;

m\. Make accommodations for hearing and/or physical impairments;

n\. Obtain flags for ceremony (both US and VA if appropriate to the
setting);

o\. Arrange for photographer;

p\. Prepare speeches for master of ceremonies and other key speakers
highlighting the event and the accomplishments of those being
recognized; and

q\. Arrange for building clearances for visitors (friends/families of
recipients) that might be invited to the ceremony.

**EMPLOYEE RECOGNITION AND AWARDS**

[]{#PtV .anchor}**PART V. TITLE 38 SPECIAL ADVANCEMENTS AND CASH
AWARDS**

**CONTENTS**

#### PARAGRAPH PAGE

1\. [SCOPE](#PtVpar1) V-1

2\. [REFERENCES](#PtVpar2) V-1

3\. [PERSONS AUTHORIZED TO APPROVE ADVANCEMENTS](#PtVpar3) V-1

4\. [CRITERIA FOR SPECIAL ADVANCEMENT FOR ACHIEVEMENT](#PtVpar4) V-1

5\. [PROCESSING AND DOCUMENTING SPECIAL ADVANCEMENTS\
FOR ACHIEVEMENT](#PtVpar5) V-4

6\. [CRITERIA FOR SPECIAL ADVANCEMENT FOR PERFORMANCE](#PtVpar6) V-5

7\. [PROCESSING AND DOCUMENTING SPECIAL ADVANCEMENTS\
FOR PERFORMANCE](#PtVpar7) V-6

8\. [CRITERIA FOR CASH AWARDS FOR FULL TIME, PART TIME, AND\
INTERMITTENT REGISTERED NURSES AND NURSE ANESTHETISTS\
APPOINTED UNDER 38 U.S.C. 7306, 7401(1) AND 7405](#PtVpar8) V-7

**APPENDICES**

V-A. [PERSONS AUTHORIZED TO APPROVE ADVANCEMENTS](#AppVA) V-A-1

V-B. [PROCESSING SPECIAL ADVANCEMENTS FOR ACHIEVEMENT](#AppVB) V-B-1

V-C. [DOCUMENTATION OF ADVANCEMENTS ON SF-50](#AppVC) V-C-1

V-D. [PROCESSING SPECIAL ADVANCEMENTS FOR PERFORMANCE](#AppVD) V-D-1

**PART V. TITLE 38 SPECIAL ADVANCEMENTS AND CASH AWARDS**

**1.** []{#PtVpar1 .anchor}**SCOPE.** This part contains policies,
procedures and guidelines governing the advancement of \[ \]
podiatrists, optometrists, chiropractors, registered nurses, nurse
anesthetists, physician assistants and expanded-function dental
auxiliaries appointed under authority of 38 U.S.C. 7401(1) or 7405(a);
and, Title 38 hybrid employees appointed under 38 U.S.C. 7401(3) or
7405(a)(1)(B). Excluded are facility directors, chiefs of staff, medical
and dental residents appointed under authority of 38 U.S.C. 7406, and
health care executives appointed under 38 U.S.C. 7306.

**2.** []{#PtVpar2 .anchor}**REFERENCES**

a\. VA Directive 5017

b\. 38 U.S.C., chapters 73 and 74

**3.** []{#PtVpar3 .anchor}**PERSONS AUTHORIZED TO APPROVE
ADVANCEMENTS.** The Under Secretary for Health, or a designee, shall
approve all advancements of employees covered by this part. (See
appendix A of this part.)

**4.** []{#PtVpar4 .anchor}**CRITERIA FOR SPECIAL ADVANCEMENT FOR
ACHIEVEMENT (SAA)**

a\. \[**Podiatrists and Optometrists and Chiropractors.** Full-time,
part-time, and intermittent podiatrist, optometrists and chiropractors
may be advanced within the grade from one to five steps on the basis of
professional achievement above that expected for the grade level or
assignment providing they have demonstrated a high level of performance
and potential for assumption of greater responsibility. Examples of
professional achievement are:\]

\[(1) Outstanding and exceptional achievement as evidenced by receipt of
official recognition from a recognized professional or academic
organization.

\(2\) Significant professional attainment in research or contributions
to podiatric or optometric science and patient care worthy of
publication in a national or international journal of high regard within
the respective professions.\]

b\. \[**Registered Nurses and Nurse Anesthetists**

\(1\) **Criteria.** Full-time, part-time and intermittent registered
nurses and nurse anesthetists may be advanced within the grade from one
to five steps on the basis of professional achievement provided they
have demonstrated excellence in performance above that expected for the
grade level or assignment and potential for assumption of greater
responsibility. Such achievement may be demonstrated by:

\(a\) Recognition of professional groups such as certification by the
appropriate national certifying body (except where such certification is
required as a condition of employment) or election to an office in a
national professional society; or

\(b\) Professional attainments in research or contributions to the
advancement of health sciences and patient care worthy of national or
international recognition; or

\(c\) Receipt of professional awards at the State or national level in
recognition of significant and distinguished contributions to nursing,
nurse anesthesia, or health care delivery.

\(2\) **Number of Steps.** The relationship between the number of steps
to be granted and the size of the pay range should be considered when
granting special advancements under this paragraph. For example, if an
employee is in a grade with a 133 percent pay range, a five-step
advancement should only be granted in extremely unusual situations where
there is a clearly documented history of truly exceptional achievement.

\(3\) **Nurse Anesthetists.** Nurse anesthetists appointed on and after
May 4, 1993, may not be given an SAA based on certification by the
Council on Certification of Nurse Anesthetists. Certification is a
condition of employment and may not be used as a basis for an SAA\].

c\. \[**Physician Assistants.** Full-time, part-time and intermittent
physician assistants may be advanced within the grade from one to five
steps on the basis of professional achievement above that expected for
the grade level or assignment provided they have demonstrated excellence
in performance and potential for assumption of greater responsibility.
Examples of such achievements include, but are not limited to:

\(1\) A graduate level degree in a field related to the Department's
health care mission;

\(2\) Appointment to a university faculty position;

\(3\) Significant contributions to the Department's health care mission.
Such accomplishments may result from leadership or exceptional efforts
on facility, regional or national task forces or committees, or by
serving as a consultant on matters relating to education research,
health care management, or quality of care issues;

\(4\) Recognition of outstanding and exceptional achievement by a
professional or academic organization;

\(5\) Election to office in a professional organization at the State or
national level;

\(6\) Independently producing or serving as a principal assistant or
major contributing member on research producing publishable results that
advance patient care or medical science; or

\(7\) Attainment of specialty certification within the occupation. This
does not include certification as a physician assistant by the National
Commission on Certification of Physician's Assistants, which is a
condition of employment as a physician assistant in VHA\].

d\. \[**Expanded-Function Dental Auxiliaries.** Full-time, part-time,
and intermittent expanded-function dental auxiliaries may be advanced
within their grade from one to five steps on the basis of

professional achievement above that expected for the grade level or
assignment provided they have demonstrated excellence in performance and
potential for assumption of greater responsibility. Such achievement may
be evidenced by:

\(1\) Completion of significant research in either the biomedical or
health care delivery area and publication of these results in a
recognized journal.

\(2\) Recognition of outstanding and exceptional achievement by receipt
of an official award and publication of these results in a recognized
journal.

\(3\) Academic achievement by completion of a postgraduate degree in a
related health care field\].

e\. **Pharmacists**\[**,**\] **Occupational Therapists**\[**, Physical
Therapists,** **Certified Respiratory Therapists, Registered Respiratory
Therapists, Licensed Practical/Vocational Nurses, Audiologists, Speech
Pathologists, Audiologist-Speech Pathologists, Dieticians,
Kinesiotherapists, Medical Record Administrators/Specialists, Medical
Technologists, Psychologists, Social Workers, Biomedical Engineers,
Pharmacy Technicians, Medical Instrument Technicians, Medical Record
Technicians, Dental Hygienists, Dental Assistants, Nuclear Medicine
Technologists, Occupational Therapy Assistants, Therapeutic Radiologic
Technologists, Physical Therapy Assistants, Diagnostic Radiologic
Technicians, Prosthetic Representatives, and Orthotist-Prosthetists**.
These occupations\] may be advanced within \[the\] grade from one to
five steps \[on the basis of\] professional achievement \[above that
expected for the grade level or assignment providing\] they have
\[demonstrated\] a high level of performance and \[ \] potential for
assumption of greater \[responsibility\]. \[Please note that the
granting of four or five steps should be reserved for only the highest
personal achievements, and should be rare.\] To the extent possible, all
employees should be encouraged to seek developmental opportunities that
could enhance their personal qualifications and be afforded fair and
equitable opportunity to accomplish such achievements. \[Examples of
professional achievement include\]:

\(1\) Professional \[attainments in health care management, education,
research, and patient care that are recognized at the national or
international level, or are published in a recognized journal within the
employee's occupation, or\]

\(2\) \[Attainment of certification by an appropriate national
certifying body, unless such certification is a condition of employment
within VA or meets the criteria in the qualification standard for
promotion to a higher grade, or\]

\(3\) \[Academic achievement by the completion of a higher-level degree
in a field related to the Department's health care mission, unless the
degree is a condition for promotion under the applicable qualification
standard, or\]

\(4\) \[Election to office in a professional organization at the state
or national level in recognition of significant and distinguished
contributions to the employee's occupation, or

\(5\) Recognition of outstanding and exceptional achievement by a
professional or academic organization, or

\(6\) Independently producing or serving as a principle assistant or
major contributing member on research producing publishable results that
advance patient care or medical science, or

\(7\) Appointment to a university faculty position, or

\(8\) Appointment to a State licensing board or national certifying or
accrediting body related to the practice of the employee's occupation.

**NOTE:** Individuals at the top step of their grade cannot receive an
increase to base pay; however, they can be recognized with a Special
Contribution Award per Part III of this handbook providing they have
demonstrated a high level of performance and potential for assumption of
greater responsibility, and by meeting one of the examples of
professional achievement stated above.

**NOTE:** Local facilities are encouraged to develop criteria to ensure
consistent application of Special Advancements for Achievement.\]

**5.** []{#PtVpar5 .anchor}**PROCESSING AND DOCUMENTING SPECIAL
ADVANCEMENTS FOR ACHIEVEMENT (INCLUDING USE OF STANDARDS BOARDS).** See
appendices B and C of this part.

**6.** []{#PtVpar6 .anchor}**CRITERIA FOR SPECIAL ADVANCMENT FOR
PERFORMANCE (SAP)**

a\. **Consideration.** Full-time, part-time and intermittent
podiatrists, optometrists, chiropractors, registered nurses, nurse
anesthetists, physician assistants, and expanded-function dental
auxiliaries who have demonstrated a sustained high level of performance
and professional competence over and above that normally expected of
employees in the particular grade and profession, or who have made noted
contributions in some phase of their profession, may be considered for
Special Advancements for Performance (SAP). Pharmacists, occupational
therapists, physical therapists, certified respiratory therapists,
registered respiratory therapists, and licensed practical or vocational
nurses may be considered in accordance with paragraph f. **NOTE:**
Physicians and dentists may receive a performance pay lump sum payment
per Part IX of VA Handbook 5007.

\[**NOTE:** SAP's for supervisors and managers should be considered only
at the end of the rating cycle.\]

b\. \[ \] **Podiatrists, Optometrists, and Chiropractors.** An
advancement of three steps, not to exceed the maximum of the grade, may
be granted in lieu of and on the same due date established for a
periodic step increase. Two steps may be granted when employee is at the
eighth step of the grade. The employee must have demonstrated a
sustained high level of performance as evidenced by the following
examples:

\(1\) Demonstration of exceptional skills and aptitudes in the care and
treatment of patients.

\(2\) Actual assumption of greater professional and/or administrative
responsibility. Faculty appointment (post residency) at the rank of
instructor or above may be considered as a greater responsibility.

\(3\) Significant research.

\(4\) Significant clinical contribution (including publication).

c\. **Registered Nurses and Nurse Anesthetists.** An advancement of one
step within the grade may be granted to covered employees when there has
been a demonstrated sustained high level of performance and ability over
and above that normally expected of employees in the particular grade
and profession. In addition, one or more of the criteria listed in
chapter 4, paragraph 6 of part III of VA Handbook 5005, Staffing, must
be met.

d\. **Physician Assistants.** The employee must have demonstrated a
sustained high level of performance and ability over and above that
normally expected of employees in the particular grade and profession or
there must have been noted contributions in some aspect of health care.
Criteria for one-step advancement will be demonstrated by superior
performance as evidenced by:

\(1\) Assumption of a major responsibility in administering a major
patient care program.

\(2\) Significant accomplishments associated with an academic program
conducted in affiliation with the facility where the physician assistant
is employed.

e\. **Expanded-Function Dental Auxiliaries.** The employee must have
demonstrated a sustained high level of performance and ability over and
above that normally expected of employees in the particular grade and
profession or there must have been noted contributions in some phase of
health care. Criteria for 1-step advancement will be demonstrated by
superior performance as evidenced by:

\(1\) Demonstration of exception skills and aptitudes in the care and
treatment of patients.

\(2\) Significant accomplishments associated with an academic program
conducted in affiliation with the VA facility where the person is
employed.

f\. **Pharmacists, Occupational Therapists, Physical Therapists,
Certified Respiratory Therapists, Registered Respiratory Therapists,
Licensed Practical or Vocational Nurses,** \[**Audiologists, Speech
Pathologists, Audiologist-Speech Pathologists, Dieticians,
Kinesiotherapists, Medical Record Administrators/ Specialists, Medical
Technologists, Psychologists, Social Workers, Biomedical Engineers,
Pharmacy Technicians, Medical Instrument Technicians, Medical Record
Technicians, Dental Hygienists, Dental Assistants, Nuclear Medicine
Technologists, Occupational Therapy Assistants, Therapeutic Radiologic
Technologists, Physical Therapy Assistants, Diagnostic Radiologic
Technicians, Prosthetic Representatives, and
Orthotist-Prosthetists**\]**.** \[T\]he Quality Step Increase provisions
in part III, paragraph 3 of this handbook will be used to grant one-step
special advancements for performance for employees in these occupations.
\[Special advancement for performance recommendations for Title 38
hybrid employees will not require review by a Professional Standards
Board. Instead, recommendations will be forwarded directly to the
appropriate approving authority listed in appendix A of this part.

**NOTE:** Individuals at the top step of their grade cannot receive an
increase to base pay; however, they can be recognized with a Special
Contribution Award per Part III of this handbook.\]

**7.** []{#PtVpar7 .anchor}**PROCESSING AND DOCUMENTING SPECIAL
ADVANCEMENTS FOR PERFORMANCE.** See appendices C and D of this part.

a\. \[ \] **Podiatrists, Optometrists,** **and Chiropractors**

\(1\) Approximately 90 days prior to the employee's completing the
waiting period for a periodic step increase or rate adjustment, the
facility will receive from the Austin Automation Center (AAC), VA Form
97, Notice of Pending Personnel Action, in duplicate, identifying the
employee and stating that the employee is eligible for consideration for
Special Advancement for Performance. An advancement of

three steps, not to exceed the maximum of the grade, may be granted in
lieu of and on the same due date established for a periodic step
increase. Two steps may be granted when employee is at eighth step of
the grade. Human Resource Management Officers shall assure that
appropriate officials will be notified in anticipation of eligibility.
\[ \]

\(2\) The advancement shall be regarded as an equivalent increase.

\(3\) No two such advancements may be granted in succession within the
grade.

b\. **Registered Nurses, Nurse Anesthetists, Physician Assistants, and
Expanded-Function Dental Auxiliaries**

\(1\) An advancement of one step, not to exceed the maximum of the
grade, may be granted at any appropriate time within any period of 52
weeks.

\(2\) The advancement shall not be regarded as an equivalent increase or
in lieu of a periodic step increase.

\(3\) No more than one such advancement may be granted within any single
52-week period.

c\. **Hybrids.** Employees in occupations identified in 38 U.S.C.
7401(3) are eligible for one-step special advancements for performance,
subject to meeting the criteria for QSIs.

\[ \]

**8.** []{#PtVpar8 .anchor}**CRITERIA FOR CASH AWARDS FOR FULL-TIME,
PART-TIME, AND INTERMITTENT REGISTERED NURSES AND NURSE ANESTHETISTS
APPOINTED UNDER 38 U.S.C. 7306, 7401(1) AND 7405**

a\. **General.** Cash awards under this paragraph are in addition to
special advancements mentioned previously in this chapter. A registered
nurse or nurse anesthetist may not receive a Special Advancement for
Performance and a Special Contribution Award based on the same
performance, nor may they receive a Special Advancement for Achievement
and a Special Contribution Award based on the same achievement or
contribution. However, when it is determined appropriate, a registered
nurse or nurse anesthetist may be granted a Special Advancement for
Performance or Achievement and a cash award for exemplary job
performance and exemplary job achievement as outlined in paragraph c
below.

b\. **Specialty Certification.** Specialty certification is a mechanism
for recognizing employees who have been certified by the appropriate
national certifying body. For this paragraph, specialty certification
includes second and subsequent certifications, but does not include
recertification or renewal of previously held certifications.
Certification also includes advanced certification, provided the
requirements for advanced certification are clearly in addition to basic
certification.

\(1\) **Cash Awards.** The Director or designee must grant a cash award
of up to \$2,000 to covered employees who become certified while on VA
rolls in a specialty related to the accomplishment of VA's health care
mission.

\(2\) **Establishment of Written Policy Concerning Cash Awards for
Specialty Certification**

\(a\) Responsibilities:

[1]{.underline}. Facility directors shall establish written policies for
granting cash awards for certification.

[2]{.underline}. The Human Resources Management Officer will be
responsible for developing and coordinating these policies with
appropriate facility officials prior to the facility Director's
approval.

\(b\) The amount of the award shall be based on criteria established by
the facility Director (see subparagraph (d) below); however, awards may
also take into consideration management and/or Standards Board
recommendations, including decisions concerning the relatedness of a
certificate to the facility's health care mission or an employee's
assignment;

\(c\) To the extent feasible, the policy statement should include
information on specialty certification that does not establish
eligibility for a cash award because it has been locally determined that
the particular certification is not related to the facility's health
care mission ; and

\(d\) The following criteria may be used when granting cash awards for
certification:

[1]{.underline}. Whether the certification is based solely on
experience, or on experience and successful completion of a
comprehensive examination;

[2.]{.underline} The relationship of the certification to the employee's
assignment;

[3.]{.underline} Proration of the award based on part-time or
intermittent employment;

[4]{.underline}. Employee performance;

#  [5]{.underline}. Facility recruitment or retention needs; and

[6]{.underline}. Any other criteria considered appropriate.

\(3\) Cash awards for certification should be made within a reasonable
time after the employee presents a copy of the certificate to the
appropriate facility official. A copy of the certificate is to be filed
on the right side of the employee's personnel folder.

\(4\) Covered employees who became certified before April 7, 1991, or
who become certified before becoming covered employees are not eligible
for cash awards for specialty certification.

\(5\) Nurse anesthetists appointed or re-appointed on or after May 4,
1993 must be certified by the Council on Certification of Nurse
Anesthetists as a condition of employment. They are not eligible for
cash awards for specialty certification.

c\. **Exemplary Job Performance and Exemplary Job Achievement.**
Facility directors may grant a cash award of up to \$2,000 to registered
nurses and nurse anesthetists who demonstrate both exemplary job
performance and exemplary job achievement. To receive an award, the
employee's latest Proficiency Report must be High Satisfactory or above,
and the employee must meet the criteria under one of the following
paragraphs:

\(1\) Significant and distinguished contribution(s) in some phase of
health care as evidenced by original research, writings, and
publications in professional media of stature (e.g., reference
journals);

\(2\) Special recognition in the fields of teaching or professional
practice;

\(3\) Special competence in the occupation as evidenced by service with
professionally recognized committees or groups, responsible office in
professional societies above the local level, or consultative services
within the profession. The competence attained must be supported by
achievement of renown on a regional or wider basis;

\(4\) Expertise in specialized treatment modalities, outstanding
competence as a clinical practitioner, or significant contributions
concerning some aspect of the profession; or

\(5\) Other appropriate evidence of professional stature equivalent to
the above.

[]{#AppVA .anchor}**APPENDIX A. PERSONNEL AUTHORIZED TO APPROVE
ADVANCEMENTS**

**1. Under Secretary for Health or designee**

a\. Advancements of those covered by the scope of this handbook when the
Under Secretary for Health or designee is the appointing official.

**2**. **Network Directors**

a\. Advancements of those covered by the scope of this handbook and VA
Directive 5017 when Network Director is the appointing official.

**3. Facility Directors**

a\. Advancements of \[optometrists\].

b\. Advancements of \[podiatrists\].

c\. Advancements of \[expanded-function dental auxiliaries\].

d\. Advancements of \[chiropractors\].

e\. Advancements of \[registered nurses and nurse anesthetists\].

f\. Advancements of \[physician assistants\].

g\. Advancements of \[pharmacists. Facility directors may also delegate
to the Chief of Pharmacy Service the advancement of pharmacists in
noncentralized assignments below GS-13 and assistant chiefs of Pharmacy
Service at GS-13\].

h\. Advancements of \[occupational therapists. Facility directors may
also delegate to chief of staffs the advancements of occupational
therapists in noncentralized assignments below GS-13\].

i\. Advancements of \[registered respiratory therapists. Facility
directors may also delegate to chiefs of staff the advancements of
registered respiratory therapists\]

j\. Advancements of \[certified respiratory therapists. Facility
directors may also delegate to chiefs of staff the advancements of
certified respiratory therapists\].

k\. Advancements of \[licensed practical or vocational nurses. Facility
directors may also delegate to nurse executives the advancements of
licensed practical or vocational nurses\].

l\. Advancements of \[physical therapists. Facility directors may also
delegate to chiefs of staff the advancements of physical therapists\].

m\. Advancements of \[pharmacy technicians, medical instrument
technicians, medical record technicians, dental hygienists, dental
assistants, nuclear medicine technologists, occupational therapy
assistants, therapeutic radiologic technologists, physical therapy
assistants, diagnostic radiologic technicians, prosthetic
representatives and orthotist-prosthetists. Facility directors may also
delegate to chiefs of staff the advancements of pharmacy technicians,
medical instrument technicians, medical record technicians, dental
hygienists, dental assistants, nuclear medicine technologists,
occupational therapy assistants, therapeutic radiologic technologists,
physical therapy assistants, diagnostic radiologic technicians,
prosthetic representatives and orthotist-prosthetists\].

\[n.\] Advancements of licensed practical or vocational nurses. Facility
directors may also delegate to nurse executives the advancements of
licensed practical or vocational nurses.

\[o.\] Advancements of physical therapists. Facility directors may also
delegate to chiefs of staff the advancements of physical therapists.

[]{#AppVB .anchor}**APPENDIX B. PROCESSING SPECIAL ADVANCEMENTS FOR
ACHIEVEMENT**

+---+----------------------+------------------------------------------+
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+---+----------------------+------------------------------------------+
| * |                      | **B**                                    |
| * |                      |                                          |
| A |                      |                                          |
| * |                      |                                          |
| * |                      |                                          |
+---+----------------------+------------------------------------------+
| S | If an employee meets | then take the following steps            |
|   | criteria specified   |                                          |
| T | in part V, paragraph |                                          |
|   | 4 and is             |                                          |
| E |                      |                                          |
|   |                      |                                          |
| P |                      |                                          |
|   |                      |                                          |
| S |                      |                                          |
+---+----------------------+------------------------------------------+
| 1 | a \[ \] podiatrist,  | At the time of achievement, the employee |
|   | optometrist\*,       | may be recommended for advancement.      |
|   | chiropractor,        | Recommendations will be made to the      |
|   | registered nurse,    | Standards Board by the \[ \] service     |
|   | nurse anesthetist,   | \[chief or equivalent,\] Chief of        |
|   | physician assistant, | Staff\[, or Associate Director\]. \[If   |
|   | expanded-function    | the employee is in an occupation for     |
|   | dental auxiliary \[, | which the facility has designated a      |
|   | physical therapist,  | discipline leader, the discipline leader |
|   | registered           | may recommend the advancement of         |
|   | respiratory          | employees in their discipline for        |
|   | therapist, certified | consideration by the recommending        |
|   | respiratory          | official.\]                              |
|   | therapist, licensed  |                                          |
|   | practical or         |                                          |
|   | vocational nurse,    |                                          |
|   | occupational         |                                          |
|   | therapist, or        |                                          |
|   | pharmacist\].        |                                          |
+---+----------------------+------------------------------------------+
| 2 |                      | The Standards Board will make specific   |
|   |                      | recommendation as to the appropriate     |
|   |                      | number of steps to be granted. The board |
|   |                      | action with supporting justification     |
|   |                      | will be forwarded to the HRM office.     |
+---+----------------------+------------------------------------------+
| 3 |                      | The HRM office will forward the file     |
|   |                      | through channels to the appropriate      |
|   |                      | approving official.                      |
+---+----------------------+------------------------------------------+
| 4 |                      | Special advancements for achievement     |
|   |                      | will be made effective on the first day  |
|   |                      | of the pay period following              |
|   |                      | administrative approval of the           |
|   |                      | advancement.                             |
+---+----------------------+------------------------------------------+

**\*NOTE:** *If an optometrist meets criteria specified in part V,
paragraph 4, the employee may be recommended for advancement at the time
of achievement. Recommendations will be made to the VA Central Office
Optometry Professional Standards Board through the facility HRM office
by the chief of service or Chief of Staff as appropriate.* *The Director
of Optometry Service and the VA Central Office Optometry Professional
Standards Board may be contacted at and communications should be
directed to:*

*Director, VA Optometry Service (111E1)*

*Veterans Health Administration*

*103 South Gay Street*

*Room 714*

*Baltimore, MD 21202-4061*

*Telephone: 1-410-779-1576*

*Fax: 1-410-779-1581*

*Submissions to the VA Central Office Optometry Professional Standards
Board for special advancements shall include a cover letter with grade
or step(s) increase request information; Standard Form 50-B (SF 50-B)
showing the employee's anniversary date of grade; updated curriculum
vitae; latest SF 50-B; last 3 proficiency reports (or what is
available); last 3 board action reports (or what is available) approved
by facility Director; recommendation from the rating official; and Human
Resources point of contact. A VA Central Office Optometry Professional
Standards Board checklist to assist with this process can be accessed at
the following Office of Human Resources Management \[and Labor
Relations\] Web site link:
<http://vaww1.va.gov/ohrm/Staffing/Title38Appts.htm>.*

*The Human Resources Management Officer, VA Maryland Healthcare System,
or designee, shall serve as the technical representative to the VA
Central Office Optometry Professional Standards Board. Additional
program information covering optometrists can be obtained through the
Director of Optometry Service or the VHA Optometry Service website via
the following link: <http://vaww1.va.gov/optometry/>.*

[]{#AppVC .anchor}**APPENDIX C. DOCUMENTATION OF ADVANCEMENTS ON [SF
50-B]{.underline}, NOTIFICATION OF PERSONNEL ACTION**

+--------------+-----------+-----------------+---------+--------------+
| Category of  | Ap        | ###  N          | Legal   | VA Required  |
|              | pointment | ature of Action |         | Remarks      |
| Employee     |           |                 | Au      |              |
|              | Authority |                 | thority |              |
+--------------+-----------+-----------------+---------+--------------+
| \[ \]        | 38 U.S.C. | "Administrative | 38      | "Special     |
| podiatrists, |           | Pay Increase"   | U.S.C.  | Advancement  |
| o            | 7401(1)   |                 |         | for          |
| ptometrists, |           | "Administrative | 7403    | Performance" |
| ch           |           | Pay Increase"   |         |              |
| iropractors, |           |                 |         | "Special     |
| registered   |           |                 |         | Advancement  |
| nurses,      |           |                 |         | for          |
| physician    |           |                 |         | Achievement" |
| assistants,  |           |                 |         |              |
| expanded-    |           |                 |         |              |
| function     |           |                 |         |              |
| dental       |           |                 |         |              |
| auxiliaries  |           |                 |         |              |
| and nurse    |           |                 |         |              |
| anesthetists |           |                 |         |              |
+--------------+-----------+-----------------+---------+--------------+
| the same     | 38 U.S.C. | "Administrative | 38 U.   | "Special     |
| Title 38     |           | Pay Increase"   | S. C.   | Advancement  |
| occupations  | 7         |                 |         | for          |
| listed above | 405(a)(1) | "Administrative | 7405(b) | Performance" |
|              | (A)       | Pay Increase"   |         |              |
|              |           |                 |         | "Special     |
|              |           |                 |         | Advancement  |
|              |           |                 |         | for          |
|              |           |                 |         | Achievement" |
+--------------+-----------+-----------------+---------+--------------+
| \[Title 38   | 38 U.S.C. | "Administrative | 38      | "Special     |
| hybrid       |           | Pay Increase"   | U.S.C.  | Advancement  |
| employees\]  | 7401(3)   |                 |         | for          |
|              |           | "Administrative | 7403    | Performance" |
|              |           | Pay Increase"   |         |              |
|              |           |                 |         | "Special     |
|              |           |                 |         | Advancement  |
|              |           |                 |         | for          |
|              |           |                 |         | Achievement" |
+--------------+-----------+-----------------+---------+--------------+

+--------------+-----------+-----------------+---------+--------------+
| Category of  | Ap        | Nature of       | Legal   | VA Required  |
|              | pointment | Action          |         | Remarks      |
| Employee     |           |                 | Au      |              |
|              | Authority |                 | thority |              |
+--------------+-----------+-----------------+---------+--------------+
| \[Title 38   | 38 U.S.C. | "Administrative | 38 U.   | "Special     |
| hybrid       |           | Pay Increase"   | S. C.   | Advancement  |
| employees\]  | 7         |                 |         | for          |
|              | 405(a)(1) | "Administrative | 740     | Performance" |
|              |           | Pay Increase"   | 5(b)(2) |              |
|              | \(B\)     |                 |         | "Special     |
|              |           |                 |         | Advancement  |
|              |           |                 |         | for          |
|              |           |                 |         | Achievement" |
+--------------+-----------+-----------------+---------+--------------+

[]{#AppVD .anchor}**APPENDIX D. PROCESSING SPECIAL ADVANCEMENTS FOR
PERFORMANCE**

+---+-------------------+----------------------------------------------+
| # |                   |                                              |
| # |                   |                                              |
| # |                   |                                              |
| # |                   |                                              |
| # |                   |                                              |
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| R |                   |                                              |
| O |                   |                                              |
| C |                   |                                              |
| E |                   |                                              |
| S |                   |                                              |
| S |                   |                                              |
|   |                   |                                              |
| A |                   |                                              |
|   |                   |                                              |
| S |                   |                                              |
| P |                   |                                              |
| E |                   |                                              |
| C |                   |                                              |
| I |                   |                                              |
| A |                   |                                              |
| L |                   |                                              |
|   |                   |                                              |
| A |                   |                                              |
| D |                   |                                              |
| V |                   |                                              |
| A |                   |                                              |
| N |                   |                                              |
| C |                   |                                              |
| E |                   |                                              |
| M |                   |                                              |
| E |                   |                                              |
| N |                   |                                              |
| T |                   |                                              |
|   |                   |                                              |
| F |                   |                                              |
| O |                   |                                              |
| R |                   |                                              |
|   |                   |                                              |
| P |                   |                                              |
| E |                   |                                              |
| R |                   |                                              |
| F |                   |                                              |
| O |                   |                                              |
| R |                   |                                              |
| M |                   |                                              |
| A |                   |                                              |
| N |                   |                                              |
| C |                   |                                              |
| E |                   |                                              |
+---+-------------------+----------------------------------------------+
| * |                   | **B**                                        |
| * |                   |                                              |
| A |                   |                                              |
| * |                   |                                              |
| * |                   |                                              |
+---+-------------------+----------------------------------------------+
| S | If employee meets | then take the following steps                |
|   | the criteria      |                                              |
| T | specified in part |                                              |
|   | V, paragraph 6    |                                              |
| E | and is a          |                                              |
|   |                   |                                              |
| P |                   |                                              |
|   |                   |                                              |
| S |                   |                                              |
+---+-------------------+----------------------------------------------+
| 1 | A \[ \]           | Upon receipt of VA Form 5-97, Notice of      |
|   | podiatrist,       | Pending Personnel Action, the HRM office     |
|   | optometrist\*or   | will forward the original VA Form 5-97 to    |
|   | chiropractor      | the employee's service chief \[or to\] the   |
|   |                   | Chief of Staff, \[ \] as appropriate. The    |
|   |                   | duplicate copy of the notice will be placed  |
|   |                   | in the pending file in the HRM office.       |
+---+-------------------+----------------------------------------------+
| 2 |                   | Upon receipt of the advance SF-50B, for the  |
|   |                   | periodic step increase or rate adjustment,   |
|   |                   | the HRM Office will remove the duplicate VA  |
|   |                   | Form 5-97 from the pending file. This will   |
|   |                   | be sent with SF-50B to the service chief \[  |
|   |                   | \] or to the Chief of Staff as appropriate.  |
+---+-------------------+----------------------------------------------+
| 3 |                   | If the employee is recommended for           |
|   |                   | advancement, recommendation will be          |
|   |                   | submitted to the \[ \] Standards Board.      |
+---+-------------------+----------------------------------------------+
| 4 |                   | The \[ \] Standards Board will submit its    |
|   |                   | recommendation on VA Form 10-2543, Board     |
|   |                   | Action, to the HRM Office \[ \].             |
+---+-------------------+----------------------------------------------+
| 5 |                   | The HRM office will forward the board action |
|   |                   | through channels to the appropriate          |
|   |                   | approving authority listed in appendix A of  |
|   |                   | this part.                                   |
+---+-------------------+----------------------------------------------+

  --------------- -------------------- ----------------------------------------------
  **HOW TO                             
  PROCESS A                            
  SPECIAL                              
  ADVANCEMENT FOR                      
  PERFORMANCE                          
  (CONTINUED)**                        

  **A**                                **B**

  6                                    In the absence of recommendation for
                                       advancement, or if the recommendation for
                                       special advancement for performance is
                                       disapproved, the normal procedures for
                                       periodic step increases or rate adjustments
                                       will be followed. (See VA Handbook 5007 \[
                                       \].)

  7               a registered nurse,  If the recommendation is approved, Standard
                  nurse anesthetist,   Form 52, Request for Personnel Action, will be
                  physician assistant, initiated \[ \]. The effective date will be
                  expanded-function    the same as the due date for the periodic step
                  dental auxiliary\[,  increase or rate adjustment.
                  physical therapist,  
                  registered           
                  respiratory          
                  therapist, certified 
                  respiratory          
                  therapist, licensed  
                  practical or         
                  vocational nurse,    
                  occupational         
                  therapist, or        
                  pharmacist\]         

  8                                    If the employee is recommended for
                                       advancement, the recommendation will be
                                       submitted to the appropriate \[Professional\]
                                       Standards Board by the chief of service or
                                       Chief of Staff, as appropriate.

  9                                    See steps 4 and 5 above.

  10                                   If the recommendation is approved, Standard
                                       Form 52, Request for Personnel Action, will be
                                       initiated \[ \]. The effective date will be
                                       the first day of the pay period following
                                       administrative approval.
  --------------- -------------------- ----------------------------------------------

\***NOTE:** *To process special advancements for performance for
optometrists, follow steps 1 & 2 shown above. In step 3,*
r*ecommendations will be made to the VA Central Office Optometry
Professional Standards Board by the chief of service*

*or Chief of Staff as appropriate trough the facility HRM office. The
Director of Optometry Service and the VA Central Office Optometry
Professional Standards Board may be contacted at and communications
should be directed to:*

*Director, VA Optometry Service (111E1)*

*Veterans Health Administration*

*103 South Gay Street*

*Room 714*

*Baltimore, MD 21202-4061*

*Telephone: 1-410-779-1576*

*Fax: 1-410-779-1581*

Submissions to the VA Central Office Optometry Professional Standards
Board for special advancements for performance shall include a cover
letter with grade or step(s) increase request information; Standard Form
50-B (SF 50-B) showing the employee's anniversary date of grade; updated
curriculum vitae; latest SF 50-B; last 3 proficiency reports (or what is
available); last 3 board action reports (or what is available) approved
by facility Director; recommendation from the rating official; and
facility HRM office point of contact. A VA Central Office Optometry
Professional Standards Board checklist to assist with this process can
be accessed at the following Office of Human Resources Management \[and
Labor Relations\] Web site link:
<http://vaww1.va.gov/ohrm/Staffing/Title38Appts.htm>.

*The VA Central Office Optometry Professional Standards Board will make
specific recommendation as to the appropriate number of steps to be
granted. The board action with supporting justification will be returned
to the facility HRM office. Thereafter, special advancements for
performance of optometrists will be processed in accordance with steps 5
through 10, as appropriate.*

*The Human Resources Management Officer, VA Maryland Healthcare System,
or designee, shall serve as the technical representative to the VA
Central Office Optometry Professional Standards Board. Additional
program information covering optometrists can be obtained through the
Director of Optometry Service or the VHA Optometry Service Web site via
the following link: <http://vaww1.va.gov/optometry/>.\]*

+---+---------------------+-------------------------------------------+
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| F |                     |                                           |
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| M |                     |                                           |
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| E |                     |                                           |
|   |                     |                                           |
| ( |                     |                                           |
| C |                     |                                           |
| O |                     |                                           |
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| N |                     |                                           |
| U |                     |                                           |
| E |                     |                                           |
| D |                     |                                           |
| ) |                     |                                           |
+---+---------------------+-------------------------------------------+
| * |                     | **B**                                     |
| * |                     |                                           |
| A |                     |                                           |
| * |                     |                                           |
| * |                     |                                           |
+---+---------------------+-------------------------------------------+
| S | If employee meets   | then take the following steps             |
|   | the criteria        |                                           |
| T | specified in part   |                                           |
|   | V, paragraph 6 and  |                                           |
| E | is a                |                                           |
|   |                     |                                           |
| P |                     |                                           |
|   |                     |                                           |
| S |                     |                                           |
+---+---------------------+-------------------------------------------+
| 1 | Title 38 hybrid     | If the recommendation is approved,        |
| 1 | employees appointed | Standard Form 52, Request for Personnel   |
|   | under 38 U.S.C.     | Action, will be initiated by the          |
|   | 7401(3) or          | operating official. The effective date    |
|   | 7405(a)(1)(B)       | will be the same as the due date for the  |
|   |                     | periodic step increase or rate            |
|   |                     | adjustment.                               |
+---+---------------------+-------------------------------------------+
| 1 |                     | If the employee is recommended for        |
| 2 |                     | advancement, the recommendation will be   |
|   |                     | forwarded directly to the appropriate     |
|   |                     | approving authority listed in appendix A  |
|   |                     | of this part.                             |
+---+---------------------+-------------------------------------------+
| 1 |                     | A Standard Form 52, Request for Personnel |
| 3 |                     | Action, will be initiated by the          |
|   |                     | operating official once the               |
|   |                     | recommendation is approved. The effective |
|   |                     | date will be the first day of the pay     |
|   |                     | period following administrative           |
|   |                     | approval.\]                               |
+---+---------------------+-------------------------------------------+