DT-21-10, Management Directive 10.72, Awards and Recognition

Management Directive 10.72, Awards and Recognition

ML21230A014
Person / Time
Issue date:	08/31/2021
From:	Shannon Rogers Office of the Chief Human Capital Officer
To:
Sandra Rogers, NRC/OCHCO
References
DT-21-10 MD 10.72
Download: ML21230A014 (38)

Text

U.S. NUCLEAR REGULATORY COMMISSION MANAGEMENT DIRECTIVE (MD)

MD 10.72 AWARDS AND RECOGNITION DT-21-10 Volume 10, Personnel Management Part 3: Performance Appraisals, Awards, and Training Approved By: Mary A. Lamary Chief Human Capital Officer Date Approved: August 31, 2021 Cert. Date: N/A, for the latest version of any NRC directive or handbook, see the online MD catalog Issuing Office: Office of the Chief Human Capital Officer

Contact:

Shannon Rogers Servicing Human Resources Specialist (names and phone numbers are listed here)

EXECUTIVE

SUMMARY

Management Directive 10.72, Awards and Recognition, is revised to

• Clarify that, depending on funding availability, NRC Distinguished and Meritorious Service Awards may or may not include a cash component in a given year.

• Clarify that travel expenses may be granted in connection with external awards.

• Eliminate a provision that made employees ineligible for a High Quality Step Increase when they were not expected to remain for at least 60 days in the same or similar position at the same grade level, they had been promoted recently, or a promotion was imminent.

• Incorporate awards and recognition for the Innovation Program.

• Clarify that knowledge management achievements may be recognized with awards for special acts and services.

• Clarify that the awards identified in this management directive do not apply to contractor employees.

For updates or revisions to policies contained in this MD that were issued after the MD was signed, please see the Yellow Announcement to Management Directive index (YA-to-MD index).

MD 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 TABLE OF CONTENTS I. POLICY..............................................................................................................................2 II. OBJECTIVES ....................................................................................................................2 III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY ........... 3 A. Chairman ......................................................................................................................3 B. Commissioners .............................................................................................................3 C. Executive Director for Operations (EDO) ......................................................................3 D. Inspector General (IG) ..................................................................................................4 E. Office of the Chief Financial Officer (OCFO) .................................................................4 F. Chief Human Capital Officer (CHCO) ...........................................................................4 G. Office Directors and Regional Administrators ...............................................................4 H. Managers and Supervisors ...........................................................................................5 I. Federal Employees.......................................................................................................5 IV. APPLICABILITY ................................................................................................................5 A. All NRC Federal Employees .........................................................................................5 B. Administrative Law Judges, Experts, Consultants.........................................................5 C. Contractor Employees ..................................................................................................5 V. DIRECTIVE HANDBOOK ..................................................................................................5 VI. REFERENCES ...................................................................................................................5 I. POLICY It is the policy of the U.S. Nuclear Regulatory Commission (NRC) to recognize and reward the individual or group achievements of NRC Federal employees who, in connection with or related to official employment, contribute to meeting organizational goals or improving the efficiency, effectiveness, and economy of the agency and/or the Government, or that are otherwise in the public interest.

II. OBJECTIVES Improve agency and Government efficiency, economy, and effectiveness; support and enhance NRC and national goals; and obtain maximum benefits for the Government.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 2

MD 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 Express appreciation for the contributions that benefit the agency.

Motivate NRC Federal employees to increase the quality, productivity, and creativity of their work.

Motivate NRC Federal employees to improve agency operations.

Provide an incentive for excellence.

Celebrate individual and organizational successes.

Reinforce both NRC's core values and its safety culture.

Ensure that performance awards granted based on ratings of record make meaningful distinctions based on levels of performance. This will ensure the integrity of rating-based cash awards.

III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY A. Chairman

1. Provides personal leadership to the Awards and Recognition Program.

2. Approves awards for NRC employees of the Chairman's immediate staff and other awards as indicated in Exhibit 1 of Handbook 10.72.

3. Approves exceptions to award scales and to the provisions of this management directive (MD) for employees under the jurisdiction of the Chairman, the Commissioners, and Commission staff offices.

4. Submits award recommendations that are in excess of $10,000, up to $25,000, for NRC employees individually, or individuals as part of a group, to the Office of Personnel Management (OPM) for approval; and in excess of $25,000 for individuals, or individuals as part of a group, to OPM for Presidential approval.

5. Appoints the Senior Performance Official(s) (SPOs).

B. Commissioners Approve awards as indicated in Exhibit 1 of Handbook 10.72.

C. Executive Director for Operations (EDO)

1. Approves awards as indicated in Exhibit 1 of Handbook 10.72.

2. Approves exceptions to the provisions of this MD and to the award scales set forth in Exhibits 2 and 3 of Handbook 10.72.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 3

MD 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 D. Inspector General (IG)

1. Approves awards for employees of the Office of the Inspector General (OIG) as indicated in Exhibit 1 of Handbook 10.72 and other awards in accordance with the OIG awards policy.

2. Approves exceptions to the provisions of this MD and the awards scales set forth in Exhibits 2 and 3 of Handbook 10.72.

3. Establishes and maintains a system for funding and allocating funds or other appropriate recordkeeping procedures relating to incentive awards that are approved by the Inspector General.

E. Office of the Chief Financial Officer (OCFO)

1. Establishes and maintains systems and associated payroll, attendance, or other appropriate recordkeeping procedures related to the Awards and Recognition Program.

2. Ensures that proper payment is issued promptly for approved cash awards.

3. Allocates funds to office directors and regional administrators for incentive awards.

4. Establishes procedures to ensure that funds are certified available before incentive awards are issued.

F. Chief Human Capital Officer (CHCO)

1. Manages the agency's Awards and Recognition Program.

2. Ensures that personnel resources are available for the coordination of the awards ceremony to be held annually at headquarters.

3. Provides technical review of and concurrence on proposed awards, as appropriate.

4. Periodically evaluates the Awards and Recognition Program and prepares reports, as required.

5. Provides appropriate information about the Awards and Recognition Program to supervisors and other employees.

G. Office Directors and Regional Administrators

1. Recommend and/or approve awards as indicated in Exhibit 1 of Handbook 10.72.

2. Provide program support and active management participation in the activities of the Awards and Recognition Program, as appropriate.

3. Manage the distribution of awards within the funding provided for awards.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 4

MD 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 H. Managers and Supervisors Recommend and/or approve awards as indicated in Exhibit 1 of Handbook 10.72.

I. Federal Employees Recommend NRC Federal employees for awards, such as Employee of the Month or similar peer-recognized award programs; actively disseminate information about vacancies; and encourage individuals with needed skills to apply.

IV. APPLICABILITY A. All NRC Federal Employees The policy and guidance in MD 10.72 apply to all NRC Federal employees, except where specifically excluded.

B. Administrative Law Judges, Experts, Consultants The policy and guidance with regard to time off from duty do not apply to Administrative Law Judges, experts, or consultants who are excluded by regulation, or Administrative Judges who are excluded by agency policy.

C. Contractor Employees The policy and guidance for awards identified in MD 10.72 do not apply to contractor employees.

V. DIRECTIVE HANDBOOK Handbook 10.72 contains the program requirements and practices to award and recognize NRC Federal employees.

VI. REFERENCES Code of Federal Regulations Title 1, Chapter 48, Federal Acquisition Regulation.

Title 5, Administrative Personnel Part 451, Awards.

Part 531, Pay Under the General Schedule.

Part 534, Pay Under Other Systems.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 5

MD 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 Nuclear Regulatory Commission Documents Collective Bargaining Agreement Between U.S. Nuclear Regulatory Commission and National Treasury Employees Union, at https://drupal.nrc.gov/ochco/catalog/290.

Management Directives 10.67, General Grade Performance Management System.

10.137, Senior Executive Service Performance Management System.

10.145, Senior Level System.

10.148, Senior Level Performance Appraisal System.

14.1, Official Temporary Duty Travel.

OCHCO Web site, General Procedural Guidance for Awards and Recognition, https://drupal.nrc.gov/ochco/catalog/2027.

Senior Executive Service Supervisory Performance Appraisal Chain, at https://usnrc.sharepoint.com/sites/ochco-hub/PDF/Executive/perf-appraisal-chain.pdf.

United States Code Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.).

Awards for Superior Accomplishments (5 U.S.C. Chapter 45, Subchapter I).

Employment of Relatives; Restrictions (5 U.S.C. 3110).

Performance Awards in the Senior Executive Service (5 U.S.C. Section 5384).

Prohibition on Cash Awards to Certain Federal Officers (5 U.S.C. 4509).

For the latest version of any NRC directive or handbook, see the online MD Catalog. 6

U.S. NUCLEAR REGULATORY COMMISSION DIRECTIVE HANDBOOK (DH)

FRank DH 10.72 AWARDS AND RECOGNITION DT-21-10 Volume 10, Personnel Management Part 3: Performance Appraisals, Awards, and Training Approved By: Mary A. Lamary Chief Human Capital Officer Date Approved: August 31, 2021 Cert. Date: N/A, for the latest version of any NRC directive or handbook, see the online MD catalog Issuing Office: Office of the Chief Human Capital Officer

Contact:

Shannon Rogers Servicing Human Resources Specialist (names and phone numbers are listed here)

EXECUTIVE

SUMMARY

Management Directive 10.72, Awards and Recognition, is revised to

• Clarify that, depending on funding availability, NRC Distinguished and Meritorious Service Awards may or may not include a cash component in a given year.

• Clarify travel expenses may be granted in connection with external awards.

• Eliminate a provision that made employees ineligible for a High Quality Step Increase when they were not expected to remain for at least 60 days in the same or similar position at the same grade level; they had been promoted recently, or a promotion was imminent.

• Incorporate awards and recognition for the Innovation Program.

• Clarify that knowledge management achievements may be recognized with awards for special acts and services.

• Clarify that awards identified in this management directive do not apply to contractor employees.

For updates or revisions to policies contained in this MD that were issued after the MD was signed, please see the Yellow Announcement to Management Directive index (YA-to-MD index).

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 TABLE OF CONTENTS I. GENERAL INFORMATION ................................................................................................3 A. Use of the Awards and Recognition Program ...............................................................3 B. Funding ........................................................................................................................4 C. Appeals and Grievances...............................................................................................5 D. Annual Awards Ceremony ............................................................................................5 E. General Procedural Guidance for Awards and Recognition ..........................................5 II. AGENCY-LEVEL AND GOVERNMENTWIDE RECOGNITION .........................................6 A. Presidential Executive Rank Awards ............................................................................6 B. NRCs Distinguished Service Award .............................................................................8 C. NRCs Meritorious Service Award .................................................................................9 D. NRCs Meritorious Service Award for Equal Employment Opportunity (EEO) Excellence .......................................................................................................10 E. NRCs Edward McGaffigan, Jr. Public Service Award .................................................11 F. NRCs Commendation Award .....................................................................................12 G. NRCs Length-of-Service Recognition ........................................................................13 H. NRCs Retirement Recognition ...................................................................................13 I. Awards From Outside NRC ........................................................................................14 III. PERFORMANCE AWARDS ............................................................................................14 A. Senior Executive Service (SES) Performance Awards (Bonuses) .............................. 14 B. Senior Level System (SLS) Performance Awards .......................................................14 C. General Grade (GG) Performance Awards .................................................................15 D. High Quality Increase (HQI) Award .............................................................................16 IV. SPECIAL RECOGNITION AWARDS ...............................................................................17 A. Awards for Special Acts or Services ...........................................................................17 B. Employee-of-the-Month Award ...................................................................................19 C. Innovation Awards and Recognition............................................................................19 V. OTHER AWARDS AND PROGRAMS .............................................................................20 A. Time-Off Awards.........................................................................................................20 B. NRCs Certificate of Appreciation ...............................................................................21 C. Nonmonetary and Informal Recognition Awards .........................................................21 D. Suggestion Program ...................................................................................................22 E. Gainsharing Program..................................................................................................23 For the latest version of any NRC directive or handbook, see the online MD Catalog. 2

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 F. Referral Awards ..........................................................................................................23 G. Guidance for Conveying Appreciation for Contractor Employees ................................ 24 EXHIBITS Exhibit 1 Approval Authorities for Awards .........................................................................25 Exhibit 2 Scale for Performance Awards Other Than for Senior Executive Service/Senior Level System Members .................................. 30 Exhibit 3 Award Scales for Suggestions and Special Acts or Services with Tangible Benefits ...............................................................................................31 Exhibit 4 Award Scales for Suggestions and Special Acts or Services with Intangible Benefits .............................................................................................32 I. GENERAL INFORMATION A. Use of the Awards and Recognition Program

1. The U.S. Nuclear Regulatory Commission (NRC) encourages supervisors at all levels to use the Awards and Recognition Program to motivate NRC Federal employees to exercise full use of their talents, skills, and ideas to improve the efficiency, economy, and effectiveness of Government operations. Supervisors should do the following:

(a) Encourage, recognize, and reward NRC Federal employees for excellence in performing their work, for their outstanding contributions toward achieving NRC and Government goals, and for making exceptional improvements in the quality, productivity, and economy of NRC operations.

(b) Use management reviews and productivity measurement processes, when available, to identify and reward or recognize those who have exemplified NRC core values and leadership model behaviors and contributed to organizational excellence, creativity, and improvements.

(c) Weigh all aspects of an NRC employees relevant background, including past recognition, when considering employees for merit selection (e.g., promotion and career reassignment).

(d) Take appropriate precautions to avoid the premature release of information on award nominations and to protect personal information.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 3

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021

2. Consistent with applicable law and regulation, the NRC may grant to an NRC Federal employee a cash, honorary, or informal recognition award, or a time-off award without charge to leave or loss of pay. Such recognition may be given to individuals or members of a group or team based on (a) A suggestion, invention, superior accomplishment, or other personal effort that contributes to the efficiency, economy, or other improvement of Government operations or achieves a significant reduction in paperwork; (b) A special act or service in the public interest in connection with or related to official employment; or (c) Performance as reflected in the employees most recent rating of record.

3. Awards, with the exception of High Quality Increases and time off, may be granted to former NRC Federal employees and the legal heirs or estates of deceased employees for efforts or contributions made or performed before their death or separation. The term employee as used in Management Directive (MD) 10.72 refers to current and former employees, including those deceased, with the two exceptions noted.

4. Where provisions of the Collective Bargaining Agreement Between U.S. Nuclear Regulatory Commission and National Treasury Employees Union are in conflict with MD 10.72, the provisions of the agreement govern with reference to bargaining unit employees.

B. Funding

1. Agency-level and Governmentwide recognition, including Presidential Rank Awards, NRC Distinguished Service and Meritorious Service Awards, suggestion, gainsharing, referral, and Senior Executive Service (SES)/Senior Level System (SLS) performance awards, will be funded centrally by the NRC. Special act or service, nonmonetary and informal recognition, and General Grade (GG) performance awards will be funded by each NRC office and region. The Office of the Inspector General (OIG) employee awards, as listed in Exhibit 1, are funded by the OIG. Additional information on gainsharing can be found in Section V.E of this handbook.

2. A cash award is a lump-sum payment in addition to regular pay and does not increase an employees rate of basic pay. It is expressed as a gross rather than net amount and is subject to tax withholding but is not subject to health or life insurance or retirement deductions. A cash award is not creditable for inclusion in the average pay computation for retirement benefits.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 4

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021

3. When an award is approved for a Federal employee of another agency, the benefitting agency makes arrangements to transfer funds to the employing agency to cover the cost of the award. If the administrative costs of transferring funds would exceed the amount of the award, the employing agency may absorb the cost and pay the award.

4. Awards for time off cannot be converted to cash payments under any circumstances.

5. When performance awards are expressed as a percentage of basic pay, they are based on the rate of basic pay, including locality-based comparability payments, special law enforcement, or special rates.

6. The total of an NRC Federal employees basic salary, premium pay, cash awards, incentives, rank stipend, etc., received in any calendar year may not exceed the annual rate of pay for Executive Level I. For SES employees, the total may not exceed the Vice President level if the SES performance appraisal system has been certified by the Office of Personnel Management (OPM). If the SES performance appraisal system has not been certified by OPM, the cap is Executive Level I. The Chair of the NRC Executive Resources Board (ERB), after consultation with the Chief Financial Officer (CFO), recommends annually to the Commission the total dollar amount to be budgeted for SES performance awards. Up to 10 percent of the total SES payroll as of the end of the preceding fiscal year may be budgeted for performance awards. This limitation does not apply to SES rank awards. Consistent with OPM guidance, the OIG budgets for its own SES performance awards.

C. Appeals and Grievances

1. NRC Federal employees may not appeal or grieve a decision to not grant an award or the amount of an award. However, this restriction does not affect any employee right or remedy under the provisions of the Office of the Special Counsel (appointed by the President), rights and duties of labor organizations, or equal employment opportunity rights and remedies.

2. If the NRC does not adopt an employees suggestion, rejection may not be the subject of a grievance under NRC employee grievance procedures.

D. Annual Awards Ceremony The Office of the Chief Human Capital Officer (OCHCO) coordinates an awards ceremony to be held annually at NRC headquarters, or virtually, to present awards and to publicize contributions recognized under the NRC Awards and Recognition Program.

E. General Procedural Guidance for Awards and Recognition Please refer to OCHCOs intranet site for General Procedural Guidance for Awards and Recognition, at https://drupal.nrc.gov/ochco/catalog/2027, for all types of awards included in this handbook.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 5

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 II. AGENCY-LEVEL AND GOVERNMENTWIDE RECOGNITION A. Presidential Executive Rank Awards

1. Types (a) The Presidential Rank Award of Distinguished Executive (i) The Presidential Rank Award of Distinguished Executive is granted for sustained extraordinary accomplishment.

(ii) The evaluation criteria focus on the executives leadership in producing results.

(iii) The amount of the Distinguished Executive Award is equal to 35 percent of the recipient executives annual salary.

(b) The Presidential Rank Award of Meritorious Executive (i) The Presidential Rank Award of Meritorious Executive is granted for sustained accomplishment.

(ii) The evaluation criteria focus on the executives leadership in producing results.

(iii) The amount of the Meritorious Executive Award is equal to 20 percent of the recipient executives annual salary.

2. Eligibility (a) All NRC SES career appointees are eligible for consideration for rank awards if they are on the NRC rolls as career SES employees by the deadline for submission of nominations.

(b) The performance for which a nomination is submitted will have been sustained over a minimum period of at least 3 years. Preferably, the nominees performance over an even longer period should be considered. Performance must have been at the SES or equivalent level in the career or career-type Federal civilian service.

(c) The minimum 3-year period that is the basis for recognition must have been as a career appointee in the SES, or constitute equivalent Federal civilian service, such as Senior Foreign Service or administratively determined executive classifications.

(d) A former SES career appointee who received appointment to an Executive Level position in the executive branch and met the criteria for eligibility to retain certain SES benefits also may be eligible for a rank award if the executive elected to retain that benefit also meets the other criteria for nomination.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 6

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 (e) A reemployed annuitant who holds a career SES appointment is eligible if the individual meets the other criteria for nomination. However, careful consideration will be given to whether the nomination is in the best interests of NRCs SES program because of the limited number of awards that can be made.

(f) An individual who leaves the SES or who dies after being nominated but before receiving the award remains eligible unless the NRC withdraws the nomination.

3. Limitations (a) To provide for progression in awarding ranks, nominees for the Distinguished Executive Rank Award usually would have received the Meritorious Executive Rank Award in a previous year. However, at any time, it may be appropriate to confer the Distinguished Executive Rank Award without regard to progression when only the highest rank would serve as fitting recognition.

(b) Any individual who receives a rank of either Meritorious Executive or Distinguished Executive will not be entitled to receive that same award during the following 4 fiscal years. There is no prohibition, however, against receiving one rank award, then the other, at a closer interval.

4. Criteria (a) A nominee must have demonstrated sustained, extraordinary accomplishment for the Distinguished Executive Rank Award and sustained accomplishment for the Meritorious Executive Rank Award. Specific nomination criteria are described in the call for nominations that is issued annually. Please see OCHCOs General Procedural Guidance for Awards and Recognition, available at https://drupal.nrc.gov/ochco/catalog/2027, for the most recent criteria issued.

(b) In meeting the criteria and in all other areas cited in support of the nomination, it must be clear that the nominee has demonstrated qualities of strength, leadership, integrity, industry, and personal conduct that have established and maintained a high degree of public confidence and trust. These awards are not to recognize long and faithful service.

5. Award Payment (a) Subject to aggregate pay limitations, recipients of a Distinguished Executive Rank Award may receive up to 35 percent of their salary and recipients of a Meritorious Executive Rank Award may receive up to 20 percent of their salary.

(b) Any portion of the award that would cause total compensation to exceed the aggregate pay limitation can be deferred for payment during the following calendar year.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 7

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 B. NRCs Distinguished Service Award The Commission grants NRCs highest award for an individual on a highly selective basis for distinguished service and excellent achievements.

1. The NRCs Distinguished Service Award consists of (a) A citation; (b) A certificate signed by the Commissioners; (c) A gold medal inscribed with the recipients name; (d) A lapel ornament that is a miniature of the gold medal; (e) A possible cash award, depending on the availability of funds in a given year, for recipients who are not SLS Commissioner Assistants or members of the SES; and (f) A lapel ornament, a gold medal, and a citation or scroll signed by the Commissioners are given to SLS Commissioner Assistants/SES members.

2. Eligibility (a) All NRC Federal employees are eligible to receive the NRCs Distinguished Service Award. However, an individual may receive the Distinguished Service Award only once in their career, unless the previous award was received more than 10 years earlier, or the previous award was honorary, and the employees performance warrants additional recognition.

(b) Employees nominated but not selected for this award may be considered for the NRC Meritorious Service Award, if appropriate.

(c) The occasion of an employees retirement, transfer, or long periods of service do not constitute sufficient basis for this award.

3. Criteria This award is granted to an employee who has made unique or notable contributions that clearly distinguish job performance and achievements from those of other highly qualified competent employees in the same areas of work activity, with performance that exceeds the requirements for the Meritorious Service Award. Examples of these contributions include (a) Outstanding activities in direction, leadership, or skill in devising or implementing the operation of an NRC program or mission NRC program; (b) Outstanding service and activities in a scientific or technical field contributing to the advancement of nuclear regulatory safety and/or engineering; For the latest version of any NRC directive or handbook, see the online MD Catalog. 8

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 (c) Outstanding activities in nontechnical staff functions that provide a major contribution to the management, guidance, and support of NRC operational programs; and (d) Unique and/or notably creative service that is marked by exceptional success in meeting high-level responsibilities in a manner to reflect credit on the NRC.

4. Nomination Procedures (a) The Chief Human Capital Officer (CHCO), in consultation with the Chairman and the Executive Director for Operations (EDO), will coordinate the annual nomination and selection process.

(b) Nominations are reviewed and approved in accordance with Exhibit 1 of this handbook.

C. NRCs Meritorious Service Award NRCs second highest award for an individual is granted for meritorious and outstanding achievements or services of an unusual value that substantially contribute to the accomplishment of NRCs mission or assigned major work programs. Such achievements must have significant NRC-wide and/or external impact.

1. The NRCs Meritorious Service Award consists of the following:

(a) A citation; (b) A certificate signed by the Commissioners; (c) A silver medal inscribed with the recipients name; (d) A lapel ornament that is a miniature of the silver medal; and (e) A possible cash award, depending on the availability of funds in a given year, for recipients who are not SLS Commissioner Assistants or members of the SES.

2. Eligibility

a. All NRC Federal employees are eligible. However, an employee may receive the Meritorious Service Award only once in his or her career, unless the previous award was received more than 10 years earlier, or the previous award was honorary, and the employees performance warrants additional recognition.

b. The occasion of an employees retirement, transfer, or long periods of service do not constitute sufficient basis for this award.

3. Criteria The following are examples of achievements that should be considered for recognition:

For the latest version of any NRC directive or handbook, see the online MD Catalog. 9

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 (a) Outstanding results in increased productivity, efficiency, or economy of operations substantially contributing to the accomplishment of NRC programs and mission; (b) Unusual initiative or teamwork in developing new and improved work methods and procedures that result in substantial savings in staffing, time, space, materials, and other expense items; (c) Performing assigned tasks in such an exemplary manner as to set a record of achievement that will inspire and motivate other employees to improve the quality and quantity of work productivity; (d) Unusual professional achievements in work advancing an understanding and/or participation in issuing licenses or environment and security requirements that regulate the conditions under which nuclear energy or source material is used, and safeguarding the publics health and safety; and (e) Exercising unusual courage or competence while on official duty.

4. Nomination Procedures (a) The CHCO, in consultation with the Chairman and the EDO, coordinates the annual nomination and selection process.

(b) Nominations are reviewed and approved in accordance with Exhibit 1 of this handbook.

D. NRCs Meritorious Service Award for Equal Employment Opportunity (EEO)

Excellence An annual Meritorious Award for Equal Employment Opportunity (EEO) Excellence will be awarded to recognize exemplary performance in the implementation of the NRCs EEO program.

1. Eligibility (a) All NRC Federal employees who have helped advance equal employment opportunity in the agency are eligible to receive this award, including managers, supervisors, EEO committee members, and EEO counselors.

(b) The receipt of this award will not preclude an individual from receiving a Distinguished or Meritorious Service Award later.

2. Criteria The following are examples of achievements that should be considered for recognition:

For the latest version of any NRC directive or handbook, see the online MD Catalog. 10

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 (a) Activities that have exemplified an EEO standard of excellence through observation of the four guiding principles stated in the Comprehensive Diversity Management Plan, (b) Leadership and guidance in identifying the kinds of actions that the agency can take to achieve an EEO standard of excellence and assistance in achieving those actions, and (c) Activities or contributions that have resulted in building or maintaining a high-quality, diverse workforce.

3. Nomination Procedures (a) Solicitation for this award will be consistent with the solicitation for other meritorious awards and will include input from the EEO Advisory Committees.

(b) Nominations for the award should be provided through the EDO to the Commission.

(c) The Commission will make the final selection based upon recommendations provided by the staff.

4. Awards (a) A citation and certificate signed by the Commissioners, (b) A silver medal inscribed with the recipients name, (c) A lapel ornament that is a miniature of the silver medal, and (d) A possible cash award, depending on the availability of funds in a given year, for recipients who are not SLS Commissioner Assistants or members of the SES.

E. NRCs Edward McGaffigan, Jr. Public Service Award The Edward McGaffigan, Jr. Public Service Award is an honorary one-time career tribute given to an NRC Federal employee or retiree who demonstrates extraordinary commitment to public service and who exemplifies the integrity, professional dedication, and moral courage that Commissioner McGaffigan exhibited. The award will be considered annually but granted only when warranted by a nominee who meets the requirements for this award.

1. Eligibility All NRC Federal employees and retirees are eligible.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 11

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021

2. Criteria This award seeks to recognize, encourage, and perpetuate the qualities and attributes associated with dedication to public service, including putting the interests of the Nation and health and safety of the public above a desire for personal advantage; pursuing and advancing sound public policy; and being an advocate for and having the moral courage to bring about change. Nominations will be evaluated based on the totality of their careers in public service.

3. Nomination Procedures (a) Nomination packages consist of a cover letter, nominating form, justification, and letters of endorsement. Packages should be submitted to OCHCO during the month of September. A special selection committee will review nominations and submit its recommendations to the Commission. For additional instructions, refer to OCHCOs General Procedural Guidance for Awards and Recognition.

(b) Nominations and approvals will be made in accordance with the information provided in Exhibit 1 of this handbook.

4. Award The Edward McGaffigan, Jr. Public Service Award is a crystal obelisk engraved with the likeness of Commissioner McGaffigan and the recipients name on the front. The obelisk will be accompanied by a citation signed by the current Chairman and Commissioners. The obelisk and citation will be presented in a ceremony befitting an award of this magnitude.

F. NRCs Commendation Award This prestigious NRC honorary award is granted to individuals or groups for significant acts or achievements that materially aid or affect the successful accomplishment of NRC missions and programs. To be considered for this award, the employees or employees performance would exceed the requirements for recognition by a Certificate of Appreciation.

1. Eligibility All NRC Federal employees are eligible.

2. Criteria Examples of service or contributions that may be considered for recognition are (a) Accomplishment of a particularly difficult or important project, assignment, operation, or study that reflects positively on the group or individual contributor and the agency; For the latest version of any NRC directive or handbook, see the online MD Catalog. 12

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 (b) Outstanding success supporting programs that advance the licensing and regulatory aspects of the agencys mission leading to improved safety and safeguards, while upgrading the level of health and safety operations; (c) Superior accomplishment in fostering agency programs leading to improved efficiency, productivity, and administrative operations; or (d) Demonstration of unusual initiative or creativity in the development and improvement of methods, procedures, or devices resulting in substantial improvement in economy of operations.

3. Nomination Procedures (a) Nominations may be received at any time.

(b) Nominations and approvals will be made in accordance with the information provided in Exhibit 1 of this handbook.

4.Award The NRC Commendation Award consists of a certificate containing the citation and a lapel pin. Letters from other officials also may be presented.

G. NRCs Length-of-Service Recognition

1. Eligibility NRC length-of-service pins are presented to NRC Federal employees, excluding consultants, in recognition of total creditable Federal service at 5-year increments beginning at the completion of 10 years of service.

2. Nomination Procedures Employees who are eligible for career service recognition are identified by the employees total creditable service anniversary date. Total creditable service is all creditable Federal service, including honorable military service.

3. Award The appropriate office may prepare certificates and will present the pins and certificates, letters, and plaques, as applicable, for its employees.

H. NRCs Retirement Recognition

1. Plaque and Letter A plaque reflecting the NRC employees name and years of Federal service is presented to all employees retiring from Federal service, along with a letter from the For the latest version of any NRC directive or handbook, see the online MD Catalog. 13

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 Chairman, the Inspector General, the EDO, the office director, or the regional administrator, as appropriate.

2. Pin NRC Federal employees will be issued a service pin based on the highest number of years of service, provided that the pin has not been issued previously.

I. Awards from Outside the NRC

1. Each year the NRC is invited to submit candidates for various awards made by both private entities and Government agencies. OIG submits candidates for outside awards for OIG employees.

2. If an NRC employee is selected to receive an external award based on the nomination package submitted, the agency normally pays for the expenses associated with the employees attendance, which generally includes awards ceremony registration and travel for the recipient and one other individual.

3. Please see the External Awards tab on OCHCOs General Procedural Guidance for Awards and Recognition Intranet site for a list of external awards and more detailed information. The list of external awards is updated annually and is not all-inclusive.

III. PERFORMANCE AWARDS A. Senior Executive Service (SES) Performance Awards (Bonuses)

Performance or bonus awards are granted in recognition of high caliber work performed over the annual rating period. Bonuses cannot be substituted for Executive Rank Awards. More information on eligibility, limitations, and procedures regarding SES performance awards may be found in MD 10.137, Senior Executive Service Performance Management System.

B. Senior Level System (SLS) Performance Awards

1. Eligibility Within-band pay adjustments and performance-based cash awards are directly linked to performance for SLS employees based on a threshold eligibility of a performance rating of Fully Successful. Time-off awards also may be granted instead of, or in addition to, cash.

2. Limitations (a) It is not expected that every SLS employee will receive a performance-based increase each year. These increases are not employee entitlements and should be provided only for those employees whose performance warrants a For the latest version of any NRC directive or handbook, see the online MD Catalog. 14

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 performance-based increase, just as performance-based bonuses are awarded in the SES.

(b) If an SLS employee moves from one band to another during the appraisal period and the supervisor recommends recognition of the employees performance in the previous (lower) band, a one-time cash award would generally be appropriate rather than a performance-based increase to base pay.

(c) A performance-based increase to base pay should be considered if performance in the new position warrants and the individual has been in the position for at least 120 days before the end of the appraisal period. A performance-based increase to basic pay cannot exceed the top of the pay band to which the position is assigned.

(d) Individual adjustments to base pay that are based on performance can be made only once for each appraisal period.

(e) SLS employees may receive a within-band increase of normally 3 percent to 5 percent.

(f) More information on SLS performance awards may be found in MD 10.148, Senior Level Performance Appraisal System, Part III.

C. General Grade (GG) Performance Awards Performance awards, also referred to as rating based awards, are lump-sum payments and/or time-off awards based on the NRC Federal employees rating of record for the current appraisal period. Managers and supervisors may consider individual employee preferences as well as budget and workload in determining the type of award (i.e., cash or time off).

1. Eligibility (a) NRC Federal employees whose current rating of record is Fully Successful or higher may be considered for performance awards.

(b) No employee who has received a High Quality Increase (HQI) Award may receive another performance award for the same period of performance.

2. Criteria (a) When considering employees for performance awards, the supervisor will consider employees rated Outstanding before considering those rated Excellent.

The supervisor will consider those rated Excellent before considering those rated Fully Successful.

(b) Managers should ensure that performance awards granted based on ratings of record make meaningful distinctions based on levels of performance.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 15

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 (c) There will be no automatic or mandatory awards solely based on ratings.

(i) Awards are a prerogative of management.

(ii) Factors such as recency of promotion and availability of funds also may affect award decisions.

(iii) Award recommendations should be submitted at the same time that the rating of record is determined.

• The rating will serve as sufficient justification for the award.

• When the rating of record is more than 90 calendar days old, a written justification explaining the reason for the delay must accompany the recommendation.

D. High Quality Increase (HQI) Award A High Quality Increase (HQI) is an increase in an NRC Federal employees rate of basic pay from one rate of the grade to the next higher rate of the same grade. It immediately raises the employees basic rate of pay one step and has possible continuing benefits affecting life insurance and retirement computations.

1. Eligibility (a) HQIs may be granted only to employees on the General Salary Schedule who are covered by the GG performance appraisal system.

(b) SES, SLS, Wage Grade, and Administratively Determined employees are not eligible for an HQI.

(c) There are no automatic HQI awards solely based on performance ratings.

(d) An employee may be considered for an HQI if the employee meets the following criteria:

(i) The employee's performance is rated Outstanding, (ii) The employee's performance has been sustained at a high level for a sufficient time so that it is considered characteristic (not less than 6 months),

and (iii) The employee is expected to continue such performance in the future.

(e) HQIs may not be granted to an employee in any of the following situations:

(i) The employee is in the maximum step of any grade; (ii) The employee's primary responsibility during the year was participation in a formal training program, such as the Nuclear Regulator Apprenticeship Network Program; For the latest version of any NRC directive or handbook, see the online MD Catalog. 16

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 (iii) The employee was granted an HQI in the prior 52-week period; or (iv) The employee was granted a performance award for the same period of performance.

(f) An HQI may not be granted to resolve personnel problems.

2. Criteria (a) A recommendation for an HQI must be supported by the employees most recent rating of record. In addition, when the appraisal is more than 90 days old, a written justification explaining the reason for the delay must accompany the recommendation.

(b) Generally, no more than 90 calendar days should elapse from the time of the recommendation until the award is granted, unless to do so would be a disadvantage to the employee in that the HQI would cause the employee to be placed in a higher waiting period for the next within-grade increase (WGI). If the employee would be disadvantaged, it is acceptable to delay processing of the HQI until after the WGI to take advantage of his or her placement in the waiting period for the next WGI.

IV. SPECIAL RECOGNITION AWARDS A. Awards for Special Acts or Services

1. When Special Acts or Services Awards are Appropriate (a) Special acts or services awards, also referred to as nonrating based awards, are appropriate when an NRC Federal employee or a group of NRC Federal employees (i) Performs substantially beyond expectations on a specific assignment or aspect of an assignment or function; (ii) Has a single scientific achievement, invention, act of heroism, or similar one-time special service; (iii) Has an achievement of a nonrecurring nature, either within or outside of job responsibilities; or (iv) Performs knowledge management activities beyond expectations that advance a knowledge sharing culture and contribute to the efficiency, effectiveness, or improvement of agency operations, programs, or functions.

Please see OCHCOs General Procedural Guidance for Awards and Recognition for further guidance.

(b) An award based on a special act or service may consist of either a lump-sum cash award and/or a time-off award.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 17

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 (c) Managers may consider individual employee preferences, as well as budget and workload, in determining the nature of the award.

2. Eligibility All employees or groups of employees are eligible to receive this award. This includes SES and SLS employees.

3. Limitations on SES Special Act or Service Awards (a) For SES members, this award should be considered only under those limited circumstances in which a bonus would not be appropriate. A job-related superior accomplishment award may be used to recognize a nonrecurring contribution, such as an extraordinary effort on a project not anticipated in the annual performance plan or a scientific achievement that may have culminated after a significant period.

(b) The NRC is prohibited from using this award to circumvent either statutory or regulatory provisions concerning the following:

(i) Limitations on eligibility for SES performance bonuses, (ii) The size of individual performance bonuses, or (iii) The total amount of funds available to pay SES performance bonuses.

4. Criteria (a) Awards for special acts or services provide a prompt form of recognition and reward for specific, nonrating-based performance achievements that contribute to the economy and efficiency of Government operations or directly increase effectiveness in carrying out Government programs or missions.

(b) Awards must be for individual or team accomplishments that are clearly superior and beyond those normally expected.

(c) The amount of the cash or time-off award must be commensurate to the tangible or intangible benefits of the employees or the groups contribution or achievement.

(d) Achievements may range from going the extra mile to significant contributions to science, engineering, management, or other areas of operations. The following are examples of such achievements:

(i) Producing exceptionally high-quality work under tight deadlines; (ii) Performing added or emergency assignments in addition to their regular duties; (iii) Showing exceptional courtesy or responsiveness in dealing with clients or colleagues; For the latest version of any NRC directive or handbook, see the online MD Catalog. 18

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 (iv) Exercising extraordinary initiative and creativity to address a critical need or a difficult problem or improve a product, activity, program, or service; (v) Culminating a scientific achievement or developing an invention; (vi) Engaging in an act of heroism; (vii) Demonstrating special initiative and skill in carrying out a project or completing an assignment before deadline; (viii) Making suggestions or taking actions that improve protection of public health and safety and the environment; and (ix) Displaying creativity and/or special initiative in carrying out knowledge management endeavors that advance the strategy and goals of the agencys Knowledge Management Program.

B. Employee-of-the-Month Award The NRC offices and regions may choose to recognize one NRC Federal employee each month for outstanding contributions or achievements under the special act award category. The employee so honored should be identified in the office awards event.

Exhibit 4 contains guidelines on the amounts of awards.

C. Innovation Awards and Recognition The InnovateNRC Program is intended to recognize and reward NRC Federal employee contributions to innovation, to encourage and sustain employee engagement in the InnovateNRC program, create a culture that encourages and supports an innovative mindset, and enable a culture shift that embraces the Leadership Model Characteristics by consistently recognizing behaviors that align with our mission, vision, and desired culture.

1. The InnovateNRC program, offices, and/or regions may choose to provide recognition (e.g., certificate of appreciation) to employees for such engagement behaviors as using the Innovate2.0 platform to contribute ideas, voting on others submissions, and/or volunteering as members of various catalyst communities.

2. The InnovateNRC program, offices, and/or regions may choose to provide nonmonetary, monetary, and/or time-off awards for valuable achievements or exceptional contributions to innovations such as providing solutions to difficult problems, implementing innovations that contribute to the efficiency and effectiveness of the agency, and going substantially beyond expectations to further innovate at the NRC. (Please see OCHCOs General Procedural Guidance for Awards and Recognition for details on the forms of recognition based on levels of participation in the InnovateNRC Program and achievements gained, recognition and award eligibility, criteria, limitations, and approval authorities.)

For the latest version of any NRC directive or handbook, see the online MD Catalog. 19

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 V. OTHER AWARDS AND PROGRAMS A. Time-Off Awards

1. General (a) Time-off awards, alone or in combination with cash, are an alternative to lump-sum cash awards.

(b) Time-off awards are granted without loss of pay or charge to leave.

(c) Time-off awards do not convert to a cash payment under any circumstances.

(d) Time-off awards carry no time limitations as to when they must be used.

(e) Time-off awards cannot be transferred when an employee transfers from one Federal agency to another, or when an employee is assigned out of a covered position.

2. Eligibility Any NRC Federal employee or group of NRC Federal employees having a full- or part-time work schedule may be eligible for time-off awards, except the following:

(a) Administrative Law Judges; (b) Experts or consultants, who are excluded by regulation; or (c) Administrative Judges, who are excluded by agency policy.

3. Criteria (a) These awards are appropriate to recognize achievements in performance or special acts/services.

(b) To the extent practical, managers should initiate the type of award that the individual employee is most likely to welcome and view as a meaningful incentive.

(c) When determining whether a particular award should take the form of lump-sum cash or time off, managers may consider the following:

(i) An employees general preferences, (ii) The nature of the contribution, (iii) The budget, (iv) The workload, and (v) Time off that is already available to the employee.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 20

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021

4. Limitations (a) Time-off awards are not to be used to circumvent statutory limitations placed on the granting of performance awards for SES members.

(b) An employee may generally not receive more than 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> of time off from duty for a single contribution, including Outstanding performance. The total amount of time that should be granted to an employee during any leave year is 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br />.

(c) When an employee receives a combination of time off and cash, the overall value of the award in its combined form should not exceed the value to the organization of the contribution recognized. The award should be commensurate with the contribution of the employee and must comply with any awards limitations.

5. Award (a) Use of time off granted is subject to approval by the employees immediate supervisor. Scheduling should be handled similarly to scheduling annual leave.

(b) To determine the amount of time off to be granted, the recommending official and the deciding official consider the benefits realized by the Government and/or NRC from the employees contribution. Exhibits 2 and 4 of this handbook provide general guidelines on amounts. Approval authorities are reflected in Exhibit 1 of this handbook.

B. NRCs Certificate of Appreciation

1. This award is presented to an NRC Federal employee or group of NRC Federal employees who have performed an assignment particularly well but where the assignment and performance do not warrant a higher level award. This award also may be granted to an employee in recognition of exemplary service upon transfer or termination of service at the discretion of the Chairman, the EDO, an office director, or a regional administrator.

2. This award provides a certificate; it also may include a personalized letter to the NRC employee recipient.

C. Nonmonetary and Informal Recognition Awards Nonmonetary and informal recognition awards may be given to recognize significant individual NRC Federal employee or NRC Federal employee team contributions that would not merit formal recognition.

1. Eligibility Any NRC Federal employee or group of NRC Federal employees may be eligible for a nonmonetary or informal recognition award.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 21

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021

2. Criteria (a) Informal recognition and nonmonetary items must not exceed nominal value. The value of the award should be commensurate with the contribution being recognized.

(b) Nonmonetary awards should be items of nominal value that are customarily used or displayed in the workplace and, through suitable imprinting, are readily recognizable as an NRC award. Nonmonetary awards may include such items as appropriately inscribed coffee mugs, pens, flags, apparel, and desk sets, as well as commemorative medals and plaques.

(c) Every item given in recognition reflects on the agency. It is important to exercise care and good judgment in selecting items to be given as recognition. Items may be selected with preferences of the individual in mind but must preserve the integrity and credibility of the NRC awards program and constitute an appropriate form of recognition to be purchased with public funds and used in the public sector.

3. Limitations Informal nonmonetary awards are not to be used as substitutes for performance awards for NRC Federal employees or to circumvent the statutory limitations placed on the granting of other types of awards.

D. Suggestion Program The suggestion program is intended to recognize and reward NRC Federal employees, either individually or collectively, for suggestions that directly contribute to productivity, economy, or efficiency, or that directly increase effectiveness in carrying out NRC or Government programs.

1. Eligibility An NRC Federal employee or group of NRC Federal employees may be eligible for an award if the suggestion is adopted in whole, in part, or in modified form.

2. Criteria (a) Suggestions Acceptable for Consideration (i) A suggestion that duplicates an idea, method, or device used elsewhere is eligible if the suggestion was not used by the organization concerned until suggested by the employee.

(ii) A suggestion that concerns a matter already under study or in developmental stages may be eligible for an award if the evaluator considers the suggestion to be a unique innovation.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 22

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 (iii) A suggestion within the employees job responsibilities may be eligible for an award if

• The suggestion is superior or meritorious enough to warrant special recognition, and

• The employee who made the suggestion does not have the authority to put the suggestion into effect.

(b) Suggestions Not Acceptable for Consideration A suggestion that substantially duplicates the subject matter, procedure, or method of another suggestion previously approved, adopted, or being considered for adoption are not acceptable for consideration.

E. Gainsharing Program

1. NRC Federal employees who obtain free airline tickets for official NRC travel by redeeming frequent flyer mileage credits are eligible to receive an award for 50 percent of the savings to the Government.

2. Gainsharing awards are subject to applicable income taxes and will be directly deposited to the same bank account that is used for the employees pay.

3. A gainsharing award will not affect an employees consideration for other agency incentive awards.

4. See MD 14.1, Official Temporary Duty Travel, for more information.

F. Referral Awards Referral awards are cash awards intended to serve as both incentives and recognition for NRC Federal employees who actively disseminate information about vacancies and encourage individuals with needed skills to apply. Eligible employees may receive a

$1,000 referral award for referring a successful candidate who is hired into a covered position.

1. Eligibility Employees are generally eligible unless they (a) Have specific duties that include recruitment, such as Human Resources Specialists with recruiting responsibilities, or employees who serve as NRC representatives at recruitment events.

(b) Are the selecting official, a rating panel member or officially associated with the selection of the individual.

(c) Serve as a supervisor, member of the SES, or at the Executive Level.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 23

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 (d) Are related to the selectee. For the purposes of this handbook, relative will have the same meaning as provided in 5 U.S.C. 3110, Employment of Relatives; Restrictions.

2. Successful Candidates Candidates referred must be non-NRC employees who enter on duty with the NRC.

3. Covered Position Referral awards are provided for all NRC positions except the following:

(a) Positions in student employment programs.

(b) Temporary positions, which are time-limited appointments with not-to-exceed dates of 1 year or less. (Term Appointments, which are time-limited appointments having not-to-exceed dates exceeding 1 year, are considered covered.)

(c) Positions with the Nuclear Regulator Apprenticeship Network Program.

(d) Executive Level and SES positions.

G. Guidance for Conveying Appreciation for Contractor Employees

1. Contractor personnel perform many important services for the NRC. However, contractor personnel are not employees of the Federal Government, but are instead employees of private companies under contract that conduct business under contract with the agency. This distinction is not meant to diminish contractor personnel or the valuable contributions they provide to the agency. Rather, NRC managers must be aware that their relationships with contractor employees are governed by 48 CFR Chapter 1, Federal Acquisition Regulation, Federal ethics laws, and agency policy.

2. A contractor employee may not be included in an agency group award, nor be individually awarded cash, time off, or an award certificate by the NRC. Appreciation for a contractor employees performance is communicated appropriately by the NRC Contracting Officers Representative (COR) to the NRC Contracting Officer, who in turn would communicate such appreciation to the contractor employer in writing. It is the role of the NRC Contracting Officer to communicate with the contractor employer to identify and praise high quality work performance of its contractor employee(s).

For the latest version of any NRC directive or handbook, see the online MD Catalog. 24

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 EXHIBITS Exhibit 1 Approval Authorities for Awards The Office of the Chief Human Capital Officer (OCHCO) provides technical advice on and review of all awards, except those for the Office of the Inspector General (OIG) employees.

AWARD NOMINATING RECOMMENDING DECIDING OFFICIAL OFFICIAL OFFICIAL Presidential Office Director or Commission or IG Office of Executive Rank Regional Administrator, Personnel Awards with Executive Management Resources Board (OPM)/President (ERB), Performance Review Board (PRB), or Executive Director for Operations (EDO) review coordinated by OCHCO NRCs Office Director or Agency panel Commission Distinguished and Regional Administrator Meritorious Service Awards NRCs Edward Any NRC Employee Agency panel Commission McGaffigan, Jr.

Public Service Award NRCs Supervisor Office Director or Chairman or EDO Commendation Regional Award Administrator For the latest version of any NRC directive or handbook, see the online MD Catalog. 25

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 EXHIBIT 1 (CONTINUED)

AWARD NOMINATING RECOMMENDING DECIDING OFFICIAL OFFICIAL OFFICIAL NRCs Length of N/A N/A Chairman, IG, Service Commissioner, Recognition EDO, Office Director, or Regional Administrator, as appropriate NRCs Retirement N/A N/A Chairman, Recognition Commissioner, EDO, Office Director, or Regional Administrator, as appropriate Awards from Office Director or EDO, IG, or Office Chairman*,

outside NRC Regional Administrator Director reporting Commissioner, directly to the EDO, Office Chairman Director, or Regional Administrator, as appropriate SES Performance Supervising Executive NRC or IG SES Chairman, Awards Performance Commission, IG, (Bonuses) Review Board or EDO, as appropriate**

Senior Level Commissioner or Performance Chairman, System (SLS) Cash Supervising Executive Review Board; or Commissioner, Awards*** IG Performance IG, or EDO, as Review Board; appropriate Commissioner Assistants do not require panel review For the latest version of any NRC directive or handbook, see the online MD Catalog. 26

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 EXHIBIT 1 (CONTINUED)

AWARD NOMINATING RECOMMENDING DECIDING OFFICIAL OFFICIAL OFFICIAL GG cash awards Supervisor When required, Chairman, up to and including normally the Commissioner,

$7,000 for second-level IG, EDO, Office individuals or supervisor Director, Regional individual Administrator, or members of designee, as groups appropriate****

GG cash awards Supervisor Office Director or Chairman, IG, from $7,001 up to Regional Commissioner, or and including Administrator, or EDO

$10,000 for Deputy IG individuals or individual members of groups Cash awards from Supervisor, reviewed by EDO, IG, or Office Chairman or IG,

$10,001 up to and Office Director or Director reporting with OPM including $25,000 Regional Administrator directly to the concurrence for individuals or Chairman individual members of groups Cash awards over Supervisor, reviewed by EDO, IG, or Office Chairman or IG,

$25,000 for Office Director or Director reporting with Presidential individuals or Regional Administrator directly to the approval individual Chairman members of groups For the latest version of any NRC directive or handbook, see the online MD Catalog. 27

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 EXHIBIT 1 (CONTINUED)

AWARD NOMINATING RECOMMENDING DECIDING OFFICIAL OFFICIAL OFFICIAL High Quality Supervisor N/A Chairman, Increase Commissioner, IG, EDO, Office Director, or Regional Administrator, as appropriate Time-off awards up Supervisor N/A Chairman, to 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> for a Commissioner, single IG, EDO, Office contribution; Director, or generally no more Regional than 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> per Administrator, or leave year designee, as appropriate Time-off Awards Supervisor Office Director or Chairman, IG, or over 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> Regional EDO Administrator, Deputy IG Certificate of Supervisor N/A Chairman, Appreciation Commissioner, IG, EDO, Office Director, or Regional Administrator, or designee, as appropriate Nonmonetary Supervisor N/A Chairman, Award and Commissioner, Informal IG, EDO, Office Recognition Director, Regional Administrator, or designee, as appropriate For the latest version of any NRC directive or handbook, see the online MD Catalog. 28

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 EXHIBIT 1 (CONTINUED)

AWARD NOMINATING RECOMMENDING DECIDING OFFICIAL OFFICIAL OFFICIAL Suggestion Employee Technical Chairman, recommendation on Commissioner, adoption by official EDO, Office having jurisdiction Director or over the function(s) to Regional which the suggestion Administrator, or pertains designee, as appropriate, if adoption is recommended Innovation Awards See OCHCOs See OCHCOs See OCHCOs General Guidance for General Guidance for General Awards and Awards and Guidance for Recognition Recognition Awards and Recognition

• If external award requires agency head approval and award recipient is an OIG employee, Chairman is the deciding official.

• • For additional information, please reference the chart showing the Senior Executive Service Supervisory Performance Appraisal Chain at https://usnrc.sharepoint.com/sites/ochco-hub/PDF/Executive/perf-appraisal-chain.pdf. The chart is available on the OCHCO Web site on the Senior Executive Service at the Performance Management/Awards tab at https://drupal.nrc.gov/ochco/catalog/2025.

• • • Includes special act or service awards and performance awards. Special act or service award limits are the same as those shown for GG cash awards below. Please note that only performance awards are reviewed by the PRB.

• • • • MD 10.67, General Grade Performance Management System, provides that approval authority for performance awards may be delegated no lower than division directors or equivalent organization level.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 29

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 Exhibit 2 Scale for Performance Awards Other Than for Senior Executive Service/Senior Level System Members The availability of cash awards is subject to funding constraints.

PERFORMANCE APPRAISAL AMOUNT OF CASH AWARD

SUMMARY

RATING Outstanding Up to 15% of base salary Excellent Up to 10% of base salary Fully Successful Up to 5% of base salary Performance award percentages are based on the rate of basic pay including any locality-based comparability payment, interim geographic adjustment, or special law enforcement adjustment.

An employee may receive cash, a combination of cash and time off, or time off in recognition of exceptional performance. When an employee receives a combination of time off and cash, the overall value of the award in its combined form should not exceed the value to the organization of the contribution recognized. Thus, the award should be commensurate with the contribution of the employee and is subject to any limitations for awards.

Time-off awards cannot be converted to cash but the cash value should be considered when recognizing performance. For comparison purposes, a 40-hour time-off award represents about 2 percent of an employees total salary (not including benefits), and a 1-day time-off award represents about .4 percent of the salary.

In determining the award amount, consideration should be given to the difficulty of the job, caliber of the performance plan, actual performance, recent promotions, equity in comparison to other awards, and relative cash value of the award.

Managers may consider an employees general preferences as well as the nature of the contribution, budget, workload, and time off already available to an employee when determining whether a particular award should take the form of lump sum cash or time off. To the extent practical, managers should initiate the type of award that the individual employee is most likely to welcome and view as a meaningful incentive. The authority of office directors and regional administrators is limited to $7,000 or 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> of time off. For amounts exceeding $7,000 or 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br />, see Exhibit 1 of this directive handbook.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 30

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 Exhibit 3 Award Scales for Suggestions and Special Acts or Services with Tangible Benefits BENEFIT OF CONTRIBUTION TO AWARD THE AGENCY Up to $10,000 10% of benefit

$10,001 to $100,000 $1,000 plus 3% of benefit in excess over $10,000

$100,001 or more $3,700 plus 1% of benefit in excess over $100,000*

• Awards exceeding $10,000 up to $25,000 require approval from the Office of Personnel Management. Awards exceeding $25,000 require Presidential approval.

The minimum award for tangible benefits may be granted only when the benefits reach $250.

When a contribution has both tangible and intangible benefits, the amount of the award is based on the total value of the contribution to the Government.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 31

DH 10.72 AWARDS AND RECOGNITION Date Approved: 8/31/2021 Exhibit 4 Award Scales for Suggestions and Special Acts or Services with Intangible Benefits NATURE AND IMPACT OF RECOMMENDED CONTRIBUTION OR BENEFIT CASH AWARD One-time, short-term effort resulting in exceptional quality or Up to $850 productivity or Employee of the Month Substantial effort resulting in exercise of extraordinary Up to $5,000 initiative and creativity to address a critical need or a difficult problem, or to very significantly improve a product, activity, program, or service. Affects a broad area of science or technology or major NRC functions.

Extended effort resulting in initiation of a new principle or a Up to $10,000 major procedure or in an innovative major improvement to the quality of a critical product, activity, program, or public service.

Affects the broad NRC mission or improves the protection of public safety and the environment throughout the Nation and/or abroad.

This exhibit serves as a general guide to help managers exercise their judgment and discretion.

When a contribution produces both tangible and intangible benefits, the award amount is based on the total value of the contribution to the Government.

Managers may consider an employees general preferences as well as the nature of the contribution, budget, workload, and time off already available to an employee when determining whether a particular award should take the form of lump sum cash or time off. To the extent practical, managers should initiate the type of award that the individual employee is most likely to welcome and view as a meaningful incentive.

When an employee receives a combination of time off and cash, the combination should be commensurate with the contribution being recognized and any limitations for awards.

Time-off awards cannot be converted to cash but the cash value should be considered when recognizing the suggestion or special act or service. For example, an Employee of the Month Award of $850 might correspond to about a 2-day time-off award.

Exceptions to the award scales must be approved by the Chairman or the Executive Director for Operations.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 32