OSHA Instruction ADM 2.1
October 30, 1978

OSHA ADMINISTRATIVE DIRECTIVE NO. ADM 2.1

To:  OSHA Executive Staff, Regional Administrators, & Supervisory Personnel

Subject:  Employee Recognition Program

          Directives Affected:  This Administrative Directive supersedes OSHA
                                Administrative Directive No. 71-20 dated
                                September 1, 1971, and all subsequent
                                directives relating thereto.

          Enclosure:  DL Form 1-212, DL Form 1-213, DL Form 1-427,
                      DL Form 1-12, and Secretary Order No. 9-72.

1. Purpose. To revise and update OSHA Administrative Directive No. 71-20 dated September 1, 1971, by informing all employees of changes in the Incentive Awards Program, henceforth to be titled "Employee Recognition Program."

2. Background. The Department of Labor operates an Employee Recognition Program to encourage employees to participate fully in improving operations and to recognize and reward employees whose contributions and day-to-day input merit special attention. OSHA fully endorses this program and encourages maximum participation of all personnel.

OSHA Employee Recognition Program will adhere to the Department of Labor policy as set forth in DOL Supplement Chapter 431, Subchapter 4 and Chapter 451 of the Personnel Manual and Civil Service Regulations.

Forms of Recognition

A. Service Awards

 

1. Length of service is recognized by a service emblem and certificate. This award is automatic and is presented upon completion of five years of service and at intervals of every five years thereafter.

    

2. The Philip Arnow Award. Secretary's Order No. 9-72 established this high-level award to recognize consistently outstanding performance and service to the Department over a period of 15 years or more. It will be presented to no more than two employees a year. Each award will consist of an appropriately engraved plaque and $1,000.

   Criteria and nomination procedures for the Philip Arnow Award are contained in Secretary's Order No. 9-72, dated April 3, 1972, (see Enclosure A).

    

3. Distinguished Careers Service. Distinguished career service is service in the Department of Labor that has been marked from its beginning by sustained high quality and efficiency over a period of sufficient length to indicate an outstanding level. Distinguished career service is cumulative and is recognized only once or twice in an employee's career with the Department. The term summarizes an employee's career with Department and his or her contribution to the Department and the Government as a result of having maintained a consistently high quality of service during a period in the employee's career in the Department, regardless of the grade of the position or the nature of assignments or duties.

   Recipients of this award will receive an engraved plaque and lapel rosette.

    

   (a) Nomination Procedures. Recommendations for recognition of Distinguished Career Service may be initiated by immediate supervisors and managers, or by higher level supervisors.

   Each recommendation shall be made on DL Form 1-212, Recommendation for Secretary's Distinguished Career Award (see Enclosure B). Original and fifteen copies shall be submitted to the Assistant Secretary for approval. Only the Assistant Secretary can disapprove a recommendation. Each recommendation for recognition of career service which the Assistant Secretary has approved shall then be forwarded to the Executive Secretary of the Secretary's Honor Awards Committee for consideration by the Committee. In order to permit the inclusion of approved awards in the annual Departmental recognition ceremony, recommendations must reach the Assistant Secretary by October 15 for submission to the Executive Secretary no later than November 1.

    

4. Secretary of Labor's Career Service Award. The Secretary of Labor recognizes the need for advance training, created by changing social and economic developments and technological innovations; and honors outstanding career employees of the Department by permitting them to undertake studies and research, which will enhance their potential for service in the Department and their value to the Federal Government.

   The Secretary's Honor Awards Committee shall advise and assist the Secretary of Labor in reviewing and passing upon applications for the Secretary of Labor's Career Service Award.

 

a. Awards are presented annually to not more than five selected employees, to further training in skills of value to them and the Department, in any of the professional, technical, or managerial activities involving the Department of Labor's work. Career employees of the Department who have demonstrated ability, achievement and growth potential, and have a minimum of one year's continuous service with the Department of Labor and five year's Federal Civilian service, are eligible.

b. Names of award recipients will be announced and presentations made at the Departmental Annual Honor Awards Ceremony.

c. Award recipients will undertake their training during the fiscal year following receipt of the award. Such recipients will follow a planned course of study and/or research, in academic institutions or with other Government agencies and outside groups. Award period will be up to one year, as required.

d. Full salary, per diem where necessary, tuition charges, transportation expenses, and arrangements for the interim handling of current duties will be assumed by the Occupational Safety and Health Administration.

e. The Assistant Secretary, Occupational Safety and Health Administration, will designate project supervisors from the Division of Employment and Employee Development for employees undertaking award projects, who will coordinate implementation as to: timetable and reporting mechanics; prerequisites required (salary, per diem, tuition, travel, etc.); interim replacement for award winner; preparation of required reports.

f. The award recipients will submit periodic reports to their project supervisors, to indicate progress and give or receive advice with respect to the project. The project supervisors will submit to the Secretary's Honor Awards Committee quarterly progress reports throughout the award period for each employee, and an annual report at the end of the fiscal year, concerning the effects of the increased study and training upon the careers of the award recipients.

g. Final reports (covering experience, findings, and recommendations) will be prepared by employees upon completion of award projects, and within the period allowed for the project.

These reports will be utilized within the Department of Labor, and by other agencies and outside groups, to the extent feasible and practicable.

h. Application procedure. Announcement will be made to all employees in the Fall of the preceding year, in sufficient time to permit development of proposals. Applications will be filed in duplicate on DL Form 1-12, Application for Secretary of Labor's Career Service Award (see Enclosure C), and submitted to the Executive Secretary, National Office Incentive Awards Committee, for submission to Assistant Secretary for approval and submission to the Secretary's Honor Awards Committee.

B. Professional and Occupational Achievement Awards recognize and honor employees who have achieved an unusually significant work product. Nominations may be made by a fellow employee or group of employees. The two levels of achievement that may be recognized are Distinguished Achievement, an achievement having nationwide significance, and Meritorious Achievement, an achievement of regional or local significance. Recognition can be given to individual employees or groups.

 

1. Action to recognize either distinguished or meritorious achievement may be initiated at any time by an individual or group employed in a category. The categories: Secretarial; General Clerical; Specialized Clerical and Technical; Arts and Communication of Information; Investigation; Compliance; Enforcement; Program Specialist (Non-Managerial); Research; Legal; Management Support; Management; and Supervision are outlined in the Department of Labor Supplement, Subchapter 4, Federal Personnel Manual, Appendix A.

    

2. Recipients of these awards will receive a plaque and lapel rosette.

    

3. Nomination Procedures. Recommendations must adhere to the criteria developed for each of the categories listed and submitted on DL Form 1-213, Recommendation for Achievement Award (see Enclosure D), to the Assistant Secretary for approval and submission to the Secretary's Honor Awards Committee. (Complete nomination procedures are contained in the Department of Labor Supplement mentioned in B(1) above.)

C. Honor Awards. The Secretary of Labor may from time to time recognize groups of individuals for outstanding accomplishments other than listed above. The following types of awards may be presented:

 

1. Public Service Award. Given to an employee or group of employees for outstanding accomplishments for the Department through Department-related organizations, such as the Department of Labor Recreation Association. Framed certificate will be awarded.

    

2. Special Recognition Award. Based primarily on an employee's contribution to the programs of the Department. Recognition can be for performance on the job or it can be for significant community service performed outside the job. Certificate will be awarded.

    

3. Award of Merit. This is an honorary award established for the recognition of significant and outstanding contributions by individuals and organizations outside the Department of Labor to the furtherance of the basic work of the Department "to foster, promote, and develop the welfare of wage earners of the United States."

D. Non-Department of Labor Awards. Nominations for these awards are invited by organizations outside the Department of Labor, throughout the year. A complete listing is contained in the Department of Labor Supplement, Subchapter 4, Federal Personnel Manual, Chapter 431, Appendix C.

E. Special Achievement Awards are performance awards given to employees who demonstrate continuing superior job performance or to employees who contribute something very special on a one-time basis.

For employees or supervisors to be eligible for an achievement award the level of work must far surpass the merely acceptable performance in quality and quantity and the contribution to the organization must be outstanding.

Experts and consultants are employed because of their expert qualifications and are paid accordingly. Therefore, these employees are not eligible for an achievement award.

 

1. Forms of Recognition

    

   (a) Quality Increase. This is an additional within-grade increase authorized by section 702 of the Classification Act of 1949 (5 USC 5336), as amended, to be granted in recognition of outstanding performance. A quality increase may be granted if performance greatly exceeds normal performance requirements and

   - employee's position is subject to the Classification Act;

   - salary is below top rate of grade (but not at Rate 3 or 6);

   - retirement is more than six months away;

   - level of performance was achieved on regular duties and has been sustained to the extent that it can be considered characteristic and therefore is expected to continue;

   - no quality increase has been granted within the preceding 52-week period; and

   - no cash award was received during the previous 52-week period.

   (b) Cash Award. This is a performance award authorized by section 304 of the Government Employees' Incentive Awards Act (5 USC 4503). The minimum cash award for special achievement shall be $150; the maximum $350. The amounts of awards are based on a Civil Service Commission scale commensurate with the GS level of the employee.

    

    

    

    

    

   GS-1-4	-	$150
   5-8	-	200
   9-11	-	250
   12-13	-	300
   14-15	-	350

   A cash award shall be granted if:

   - the employee is in a Wage Board or other non-Classification Action position; or

   - the employee did not receive a quality increase or cash award within the preceding 52-week period; or

   - the employee's salary is at or about to reach the top of his Classification Act grade; or

   - the employee is expected to retire in six months or less; or

   - the employee's high quality performance was on a one-time assignment or project of limited duration.

   (c) Choosing between an Immediate Quality Increase and a Cash Award when the Employee's Salary is at Rate 3 or 6. The choice between an immediate quality increase and a cash award when the employee's salary is at Rate 3 or 6 of the General Schedule depends largely on the length of the unexpired portion of the current waiting period. The reason for this is that a quality increase from either of these rates has the effect of deferring all subsequent ordinary within-grade increases by 52 weeks.

   If the current waiting period is nearly completed, it usually will be advantageous to the employee if the supervisor will simply defer recommending the quality increase until the first pay period after the effective date of the ordinary within-grade increase or concurrent with the within-grade effective date. If the current waiting period has several months to run, it may be most equitable to grant an immediate cash award and to recommend a quality increase after the end of the waiting period.

   If the employee's salary is at Rate 6 and one year or more of the waiting period has yet to run, it will very likely be advantageous to the employee to grant an immediate quality step increase.

   Action to recognize a special achievement may be initiated at any time there is reason to believe recognition is warranted. No one may be granted more than one special achievement award within the period of 52 weeks.

    

2. Program Operation

    

   (a) The Associate Assistant Secretary for Administrative Programs is responsible for management of the Incentive Awards Program, and will establish a National Office Incentive Awards Committee which will meet once each quarter to plan program activities and evaluate program effectiveness.

   The Associate Assistant Secretary for Administrative Programs will appoint an Executive Secretary to this Committee, responsible for the day-to-day operations of the program, the scheduling of timely award considerations, the maintenance of records, and conformance of recommendations with program guidelines. The Executive Secretary will also serve as Chairman at the Committee meetings.

   Each OSHA Associate Assistant Secretary will appoint two committee members, one professional and one clerical. At least one of the members shall attend each meeting. At least one member of the Committee shall be a union member.

   Members of the Committee will serve a term of one year and may be appointed to serve consecutive terms.

   (b) Each Assistant Regional Director is responsible for management of a Regional Office Incentive Awards Program for OSHA employees in his particular region. The ARD will appoint a Regional Executive Secretary who will be responsible for the day-to-day operations of the program and for maintaining records. The National Office Incentive Awards Executive Secretary will provide services to the Regional Administrator upon request should technical questions or problems arise.

    

3. Nomination and Approval Procedures

    

   (a) Sustained Superior Performance (Quality Step Increase)

    

   1. The period of sustained superior performance must have been in the same job at the same grade level for a period of at least six months.

   2. The employee's immediate supervisor is responsible for initiating the nomination by completing the original and two copies of DL Form 1-427, Incentive Award Nomination and Approval (see Enclosure E).

   3. Documentation for the nomination will be concise and consist of:

    

   a. a brief listing of the major duties of the employee'e position critical to job success;

   b. a very brief statement of actual performance clearly indicating the manner in which the employee's performance exceeded applicable standards for satisfactory performance for the majority of assigned duties;

   c. a copy of the employee's most recent merit staffing performance report (less than one old); and

   d. a statement indicating that the employee's high level of effectiveness is expected to continue.

    

   4. The supervisor must obtain concurrence from one level of supervision above him prior to submitting the documentation to the appropriate Associate Assistant Secretary or Associate Regional Director for final decisions. Associate Assistant Secretaries and Associate Regional Directors must submit recommendations to the Assistant Secretary for final decision when the employee is under their immediate supervision.

   5. Upon approval, the designated official will complete DL Form 1-427 and forward the file to the appropriate Executive Secretary for final processing and review for adherence to the "quality standard," as authorized, and for meeting the criteria shown on pages 5 and 6 of this Directive.

   6. Upon review, if it is found that the granting of the quality increase would be in violation of any of these requirements, the Associate Assistant Secretary or ARD will be notified and processing of the action delayed or withheld and the documents will be returned to the submitting official for resubmission when and if the requirements are met.

   If, however, the review indicates all criteria have been met, the Executive Secretary will review the case for maximum benefit accruing to the employee, considering present step, due date for normal increase, etc., and may recommend to the supervisor that the award be postponed or changed to a cash award. After it has been determined which award is most advantageous to the employee, the Executive Secretary will complete a form memorandum signed by the Personnel Officer (National Office) or ARD (Field), to the immediate supervisor of the employee, and give a copy of the memorandum immediately to the Personnel Office. The action will then be coded into the computer (DL Form 52-C). The Executive Secretary is responsible for having a Certificate of Achievement in the name of the employee signed by the appropriate Associate Assistant Secretary or ARD. After the certificate is prepared and signed, it will be attached to the original of the form memorandum to the supervisor. If delivery by mail could compromise the "surprise" value of an award, it should be hand-carried to the supervisor.

    

   (b) Special Act or Service (Cash Award)

    

   1. This award may be granted to individual employees or groups of employees for meritorious personal efforts, acts or services performed either within or outside of assigned job responsibilities, which contributed to the efficiency, economy, or other improvement of Government operations or is otherwise in the public interest.

   2. A supervisor or any official having direct knowledge of the act or service may initiate the nomination by completing DL Form 1-427.

   3. A brief, concise memorandum should be prepared and submitted with DL Form 1-427 by the initiating supervisor, to clearly indicate the manner in which the employee's performance meets the criteria in Item 1 above and to indicate satisfactory performance in all aspects of his assigned duties.

   4. Associate Assistant Secretaries and ARDs have approval authority for cash awards up to and including $350. Cash awards recommending more than $350 must be submitted to the Departmental Incentive Awards Committee for action.

   5. The supervisor must obtain concurrence from one level of supervision above him prior to submitting the documentation to the appropriate Associate Assistant Secretary or ARD for final decision. When an employee is under their immediate supervision, Associate Assistant Secretaries or ARDs must submit recommendations to the Assistant Secretary for final decision.

   6. Upon approval, the designated official will complete DL Form 1-427 and forward the file to the Appropriate Executive Secretary for final processing and for adherence to the criteria shown on page 6 of this directive.

   7. Upon review, if it is found that the granting of the cash award for performance would be in violation of any of these requirements, the Associate Assistant Secretary or ARD will be notified and action on granting the award will be delayed or withheld and the documents will be returned to the submitting official for resubmission when the requirements are met. If, however, the review indicates all criteria have been met, the Executive Secretary will prepare a memorandum to the Director, Office of Accounting, OASA specifying the employee's name, amount of award, appropriation number, and will specify that check should be forwarded to the immediate supervisor.

   8. A form memorandum will then be prepared by the Executive Secretary to the immediate supervisor of the employee receiving the cash award signed by the Personnel Officer (National Office) or ARD (Field) with a certificate attached signed by the appropriate Associate Assistant Secretary or ARD noting the approval and stating that check will be forthcoming.

   The minimum cash award for special achievement is $150 - the maximum $350. Awards for employees will be determined in accordance with the schedule shown in the pay table on page 6.

    

   (c) Group Awards

   Group awards will be processed in the same manner as for cash awards above, except as Follows:

    

   1. The restriction of an individual receiving a quality increase or cash award within the preceding 52 week period does not apply.

   2. The certificate will identify the group for which the award is being granted, e.g., Division of Budget, Branch of Classification, etc., and the names of the employees will be typed on the certificate before submitting to the appropriate Associate Assistant Secretary or ARD for signature. A certificate will be issued to each member of the group.

   3. A copy of the memorandum to the supervisor of the group and a copy of the completed and approved DL Form 1-427 will also be sent to each employee included in the group.

A copy of each regional award approved shall be forwarded to the Executive Secretary, OSHA Incentive Awards Committee, for review for conformance with existing criteria and record-keeping purposes.

In special cases, employees deserving, recognition may be called to the attention of the Executive Secretary by other employees by using a simple memorandum outlining the circumstances meriting an award. The Executive Secretary will pursue these recommendations with the supervisors involved as part of the duty to conduct an active incentive awards program.

3.Filing. This directive will be retained until further notice.

5 Enclosures



Enclosure A

SECRETARY'S ORDER NO. 9-72

Subject: The Philip Arnow Award

1. Purpose. This Order establishes a new high-level award to recognize outstanding career employees. The award will be known as the Philip Arnow Award.

2. Scope. This Award will be in recognition of consistently outstanding performance and service to the Department over a long period of time (15 years or more). It will be presented to no more than one or two employees a year.

3. Policy. Each Award will be given to an individual employee based on his individual performance. Consideration will not be given to any factors such as: number of employees in the Agencies, frequency of bureau nominations or individual nominations of a similar nature, racial or ethnic grounds, political party, rank or influence, or program importance. No announcement of the Awards will be made except at the Annual Awards Ceremony when they are presented. Each Award will consist of an engraved plaque and $1,000.

An Award normally will not be considered for an employee during his last year of service or at the time he leaves the Department. An Award normally will be given only once in any employee's career. This does not, however, preclude an employee from nomination or selection for a second such Award, though such possibility is remote because of the same career achievements being evaluated a second time.

4. Award Criteria.

a. Each Agency may submit one nomination per year for this Award.

b. Grade of work or occupational assignments shall not prohibit an employee from nomination or, award. How well the individual performed his particular assignments shall be a major consideration in all phases of the Award.

c. Nominations shall include:

(1) Documentation of accomplishments (substantial responsibilities and assignments) over an extended period, but not necessarily confined to the last several years of employment. One deed or act will not qualify. Entire performance shall be considered -- not just one segment; i.e., nomination is for a program responsibility but nominee has had personnel or management responsibility. Performance on both shall be a consideration.

(2) Supporting statements from more than one supervisor and from more than one Bureau when appropriate.

(3) When nominee has been involved in Departmental programs for three years or less, complete documentation must be established concerning an outstanding career in other established programs.

5. Nominating Procedures.

a. Any individual employee may submit an Award nomination through his bureau awards committee. Bureau committees shall assist and advise such nominating employees in preparing documentation if the nomination has merit.

b. Supervisors should make substantive comments on nominee's performance and accomplishments. A mere statement of approval or disapproval will not be adequate. A single supervisor shall not have veto privilege on an Award if the nominator requests higher level consideration.

c. The nominations normally shall be submitted through the Agencies after consideration by their awards committees. Such committees, as well as the heads of the Agencies, shall provide substantive comments on the nomination.

d. Nominations will then be submitted to the Executive Secretary of the Secretary's Honor Awards Committee with full documentation from the Agencies. They must be received by the Departmental Awards Committee before January 1 of each year to be considered for the Awards Ceremony.

e. A list of individual Agency nominations shall be included in the Annual Awards Ceremony booklet.

f. Nominations may be resubmitted for consideration in following years if accompanied by properly updated documents and comments. Mere resubmission without the updating is not acceptable.

6. Responsibilities. The Secretary's Honor Awards Committee shall review and monitor the entire activity of this new high-level career award. The Committee has the authority to recommend disciplinary action to the Secretary for tampering or interfering with this Award program or for supplying misinformation or fraudulent statements to the Award process.

7. Directives Affected. The Department of Labor Supplement to the Federal Personnel Manual, chapter 431, subchapter 4, will be amended to include procedures pertaining to this Award.

8. Effective Date. This Order effective immediately.



Enclosure B

 

 

 

 

 

Enclosure C

 

 

 

 

 

 

 

 

Enclosure D

 

 

 

 

 

 

 

 

Enclosure E

 

 

 

 

 

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