NCI MANUAL	Page 1

Chapter 2300-451-6

NCI ON-THE-SPOT AWARDS PROGRAM

A. Purpose: The NCI On-the-Spot (OTS) Cash Award Program provides supervisors with a mechanism to recognize notable employee contributions and allows payments to be made in an expeditious manner. This program demonstrates the value that the NCI places on employee contributions which support organizational goals and objectives and improve quality of services.

In addition to the benefits mentioned above, the NCI OTS Award Program has the following features:

Employees will receive the face value amount of the award;

Award funds are transmitted electronically to financial institutions which results in payment of the award amount within three working days;

Streamlined procedures for processing/tracking awards.

B. Applicability: The contributions being recognized will usually have been executed during a limited period of 4-6 weeks or less. To ensure uniformity of procedures throughout NCI, it is the policy of the NCI that the OTS Award mechanism will be used for awards of $2,500 and below. The Special Act or Service award mechanism will be used for cash awards of $2,501 and above. This policy applies only to OTS Awards. It is the policy of the NCI that the Administrative Data Base (ADB) System will be used to obligate payment for OTS awards. The IMPACT system will be used for documentation purposes only. Note: All awards must be entered into the ADB systems by the first week of December to enable the Department the ability to issue the employee an accurate and timely W-2 for the current calendar year.

Exception to OTS policy: Commissioned Officers are eligible to receive a specific special act or service cash award that is based on significant scientific achievement. The Special Act or Service award mechanism is used for this award, regardless of award amount.

This policy does not apply to performance awards appropriately paid through the Sustained Superior Performance Award Program.

C. Coverage: The policy and procedures contained in this issuance applies to all NCI employees except persons engaged in training, fellowship and other programs who are not considered government employees (e.g., IRTAs, etc.).

D. Policy: It is the policy of the NCI to recognize the work performance and other contributions of its employees with appropriate forms of reward. When appropriate, the On-the-Spot (OTS) award mechanism shall be used in accordance with the policy guidelines found in this issuance to reward employees for exemplary official actions taken in support of the mission of the Institute.

E. General Guidelines:

1. The amount on an individual OTS award should range from a minimum of $50 to a maximum of $2,500. NCI officials at the level of Lab/Branch Chief and above have the authority to approve OTS Awards within the range specified above (i.e., $50 to $2,500). However, the Approving Official must be at a higher supervisory level than the Initiating Official.

2. Supervisors may initiate OTS cash awards to recognize employees and group contributions which are important in accomplishing NCI goals and objectives. OTS awards should be initiated as soon as possible after the contribution or achievement has been completed.

3. The amount of the OTS Award should be commensurate with the value of the employee's contribution but not more than $2,500. The Tables of Intangible Benefits (Illustration 1) and Tangible Benefits (Illustration 2) should be used as a guide for determining award amounts.

4. The OTS Award mechanism can be used to recognize notable employee contributions. Examples of specific actions that might be considered for an OTS Award include, but are not limited to, the following:

- Completion of a project or achievement of a significant milestone in either less time than expected or where there were unusual difficulties to overcome.

- Development of new or revised work procedures or other contributions towards the improvement of office productivity or efficiency.

- Handling an unusually heavy workload, such as when co-workers are absent or when vacant positions are not filled.

- Completion of a significant special assignment that is outside of normal job responsibilities.

- Development of a new or revised process, procedure or system which improves the quality, efficiency and/or timeliness of work products or services;

- A contribution that improves public awareness and/or understanding of NCI goals and objectives.

5. Awards entered through the ADB incur a delay in posting to employee pay records. Therefore, in order to avoid errors in tax records, OTS awards will not be processed the last two pay periods of the tax year.

F. Responsibilities:

1. The Director, NIH, is responsible for the implementation of the OTS Award Program at NIH.

2. The Director, NCI is responsible for the implementation of the OTS Award Program at the NCI.

3. The Human Resource Management and Consulting Branch (HRMCB), OM, OD, NCI, will effect awards and maintain appropriate records, including supporting documentation, for all OTS awards granted under this authority for NCI employees. The Automated Initiatives Group, (AIG) will verify OTS reports to ensure awards have been properly processed.

4. The Administrative Resource Center (ARC) for the Program or Division in which the nominated employee works will certify that funds are available for the award.

5. NCI officials at the level of Laboratory or Branch Chief or above will act as approving officials for OTS awards for employees under their supervisory jurisdiction when the award has been initiated by a supervisor who is under them in the supervisory chain of command.

The Approving Official will make the determination to grant an OTS award including the amount of such an award. The Approving Official shall always be someone who is at a higher organizational level than the NCI official who made the initial recommendation.

6. First line supervisors or above may act as the Initiating Official for an OTS award.

G. Nomination and Approval Procedures: The following outlines the procedures for nominating and approving OTS awards:

1. The supervisor completes the OTS Cash Award Form (Illustration 3) using the guidelines contained in the Tables of Intangible and Tangible Benefits (see Illustrations 1 and 2) to determine the amount of the award. A justification for the award must be included that is commensurate to the amount of the award. The completed form should then be forwarded to the Lab/Branch Chief or higher level official for approval.

2. The designated NCI Approving Official (Lab/Branch Chief or higher) reviews the OTS Cash Award Form. After signature/approval, the form is forwarded to the cognizant ARC for payment authorization.

3. The appropriate ARC staff member completes the Award Worksheet (Illustration 4), obligates the approved award amount in the Administrative Data Base (ADB), signs the OTS Cash Award Form and the Award Worksheet and forwards the original to Automation Initiatives Group (AIG), HRMCB for entry into the IMPACT System. In addition, the ARC staff member forwards a copy of the approved Cash Award Form to the Initiating and/or Approving Official for presentation to employee(s).

Note: All awards must be entered into the ADB systems by the first week of December to enable the Department the ability to issue the employee an accurate and timely W-2 for the current calendar year.

Instructions for entering an OTS Award in the ADB are available on the CIT Web Site, the HRMCB Home Page, and are attached as Appendix A.

Note: The employee will receive the full face amount of the award with no deductions for associated federal and state taxes. In order for this to happen the amount that normally would have been deducted for these charges has to be provided by the awarding unit. Therefore, the total cost of the OTS Award to the awarding unit will exceed the face amount of the award by the amount of these additional charges. A table showing the estimated total cost (Illustration 5) of typical OTS Awards is available on the HRMCB Home Page.

4. Once the award information has been entered in the ADB, the Office of Financial Management, NIH will electronically transmit payment for the award amount to the award recipient's designated financial institution. Payment will be made to the employee within three working days after the funds have been obligated in the ADB.

5. After entry of award information into the IMPACT System, AIG will use the IMPACT System to generate a Notification of Personnel Action, SF-50, for documentation purposes. AIG will then file a copy of the SF-50 in the award recipient's Official Personnel Folder and forward a copy of the SF-50 to the ARC for distribution to the employee. The original cash award form will be filed in the Employee Performance File.

H. Other Award-Related Actions:

1. Once the cash award information has been entered into IMPACT System, the Program Support Center, HHS will perform the following:

- issue an Earnings and Leave Statement to the employee

- calculate appropriate withholdings (deductions/taxes)

- charge withholdings to the employee's CAN number

- distribute withholdings

- report income to the Internal Revenue Service

- update the W-2 year-to-date totals.

2. OTS awards are subject to the following withholdings:

- 28% Federal tax

- $1.00 State tax

- 1.45% Medicare

- 6.2% OASDI (if applicable)

3. Award transactions will pass through the Accounting For Pay System. The Office of Financial Management, NIH receive Accounting for Pay flowback and work tapes that include all appropriate financial and accounting information.

I. Additional Information: If you have any questions about the internal application of the policies and procedures contained in this manual issuance, contact your Administrative Resource Center or the AIG, HRMCB at 496-9221.

J. Management Controls: The purpose of this manual issuance is to assure that all work and related activities are conducted in full accord with statutory, regulatory and policy requirements.

1. Office Responsible for Reviewing Management Controls Relative to this Chapter: Through this issuance, the Office of Human Resources Management and Consulting Branch, Office of Management, NCI is responsible for verifying OTS reports have been properly processed in accordance with chapter requirements.

2. Frequency of Review: Annually

3. Method of Review: Inspection of records

4. Review report sent to: Director, Office of Human Resource Management, NIH upon request.

K. Records Retention and Disposal: All records (e-mail and non e-mail) pertaining to this chapter must be retained and disposed of under the authority of NIH Manual Chapter 1743, "Keeping and Destroying Records, Appendix 1, NIH Records Control Schedule."

NCI 2300-451-6	Illustration 1

NCI ON-THE-SPOT AWARDS PROGRAM

Intangible Benefits Scale

Special Act or Service, Suggestion Awards, Staff Recognition Award

(For benefits or savings which cannot be measured in terms of dollar savings)

Value of Benefits	Application
Limited: Impacts an organization from a small work unit to a division or ICD	Broad: Impacts several ICDs or all of NIH	General: Impacts the mission of other components of DHHS or agencies other than NIH

Small/Moderate

$100-$325

$325-$650

$650-$1,300

Moderate/Substantial

$325-$650

$650-$1300

$1,300-$3,150

Substantial/Extended

$650-$2,500

$1,300-$5,500

$3150-$10,000

NCI 2300-451-6	Illustration 2

NCI ON-THE-SPOT AWARDS PROGRAM

Tangible Benefits

Special Act or Service, Suggestion, Invention Awards, Staff Recognition Awards

(For benefits or savings that can be measured in terms of dollars)

Estimated First-Year Benefits to Government	Amount of Award to Employee

Up to $10,000 in estimated benefits to government

10% of estimated benefits

Between $10,000 and $100,000 in estimated benefits to government

$1,000 plus 3% to 10% of benefits over $10,000

More than $100,000 in estimated benefits to the government

$3,700 to $10,000 for the first $100,000 in benefits plus .5% to 1% of benefits above $100,000 up to $250,000 with the approval of the Office of Personnel Management. Presidential approval is required for all awards of more than $25,000

NCI 2300-451-6	Illustration 3

NCI ON-THE-SPOT AWARDS PROGRAM

EMPLOYEE AWARD NOMINATION AND APPROVAL FORM

ON-THE-SPOT AWARD NOMINATION AND APPROVAL FORM

Employee's Name (Last, First , Middle Initial):

Social Security Number:

Award Amount:	Organization (ICD):

NCI
Common Accounting Number (CAN):	Object Class Code

11.5S
Justification (Describe contribution being recognized):

Initiating Official : (Name/Title)

Signature:	Date:
Approving Official: (Name/Title - Lab/Br.Chief or above)

Signature:	Date:
Administrative Resource Center Official: (Name/Title)

Signature:	Date*:
*The date the Administrative Officer signs is also the effective date of the personnel action.
NCI 2300-451-6	Illustration 4

Award Worksheet

Name of Employee	Type of Appointment	Salary (Include locality pay)
LINDA WONG	GS-0303-08	$45,206

Is this employees within your servicing organization? (Yes or No). If 'Yes', continue with step 1. If 'No', refer the OTS Awards to the appropriate ARC with proper documentation.

Step #1

Past 52 weeks Cumulative "Discretionary" Increases*

Effective Date

Amount	Initial & Date of completion
Salary Increases based on Performance (Title 42 209(f)+(g), SBRS, Special Expert)	N/A	0
Recruitment Incentive (Title 42 209(f)+(g), SE, Title 5, SES, ST/SL, SBRS)	N/A	0
Retention Incentive (Title 42 209(f)+(g), SE, Title 5, SES, ST/SL, SBRS)	N/A	0
Relocation Incentive (Title 5, SES, ST/SL, SBRS)	N/A	0
Sustained Superior Performance Case Awards	4/23/2000	$1,000.00
Quality Step Increase (GS/GM employees only)	N/A	0
On-the-Spot Awards	N/A	0
Physician's Comparability Allowance (PCA)	N/A	0
Physician's Special Pay (Discretionary changes =< $30,000 (i.e. Scarce Specialty Pay + Exceptional Quals Pay)	N/A	0
GS Promotions	N/A	0
Difference between previous job salary and current government salary (calculate ONLY if employee was hired within the past 52 weeks)	N/A	0
Total 52 weeks increase	$1,000.00

Continue to next page

Page 2

STEP #2

Proposed Action (check one):

SSPA or QSI - Employee is performing their job in a superior manner over an extended period of time (120 days or more)

0
X	OTS Award - Recognition of a notable employee contribution "outside" of normal job responsibilities

$500.00

Total (including increases from last 52 weeks)**:	$1,500.00

Current Salary:	$45,206.00

Grand Total of Cumulative Discretionary increases + current salary ***	$46,706.00

Signature of ARC Manager or Deputy

(verifies delegation of authority + Award Matrix

Helpful notes:

*Non-discretionary increases (not subject to limit of $30,000 in 52 weeks) i.e., Comparability Increases [Title 5, SE], Within-Grade Increases, PSP Length-of-Service, PSP Board Certification, PSP Full-time Status, PSP Geographic Locality pay.

** Any aaward which will cause an employee's cumulative discretionary increases to exceed $30, 000 in a 52 week period must be approved by the Director, NIH.

***Any award which will cause an employee's total compensation to exceed 4200,000 must be approved by the Director, NIH.

NCI 2300-451-6	Illustration 5

NCI ON-THE-SPOT AWARDS PROGRAM

COST OF OTS CASH AWARD
Proposed Amount of

Cash Award That Employee

Will Receive	Actual Cost to Division/Office for

CSRS Employee*	Actual Cost to Division/Office for FERS

or Temporary Employee**

$250

$355.36

$389.50

$500

$709.72

$778.00

$750

$1,064.08

$1,166.50

$1,000

$1,418.43

$1,555.00

$1,500

$2,127.15

$2,331.00

$2,000

$2,835.87

$3,108.00

$2,500

$3,544.59

$3,885.00

Includes Federal Tax of 28%; Medicare of 1.45%; and State Tax of $1.00

**	Includes Federal Tax of 28%; Medicare of 1.45%; Social Security/OASDI of 6.2%; and State Tax of $1.00

NCI 2300-451-6	Appendix A

NCI ON-THE-SPOT AWARDS PROGRAM

NIH ADB ON-THE-SPOT CASH AWARDS

PROCESSING SYSTEM USER'S GUIDE

INTRODUCTION

A new facility for the requesting and approving on-the-spot cash awards has been incorporated

within the NIH Administrative Data Base (ADB) System. This facility provides:

The ability to enter a request for an employee award payment.

The ability to change or delete a request for an employee award payment.

The ability to approve the request and to request payment from Treasury.

The ability to display the status of the awards.

PLEASE NOTE: In order to request or approve an on-the-spot cash award through this facility, you must have the appropriate security. Also, you can not, under any circumstances, request or approve an award for yourself. An alternate approving official in your node can, however, submit or approve a request for you (provided that person has the proper security). Requests for the ability to add/change/delete on-the-spot cash award requests and/or to approve them should be submitted via the User Registration function of the ADB System. Node-holders can not submit a request for this capability for themselves; in this instance, they may send or fax (301-402-5304) this request to Dennis George, ISB, CIT (Bldg. 12A/Rm. 4041).

ON-THE-SPOT CASH AWARD FUNCTIONS

After logging onto the ADB System and getting to the Sign-On Screen, type OTH in the CODE field and press the ENTER key to go to the OTHER ADB FUNCTIONS MENU.

(NOTE: If you are unfamiliar with how to log on to the ADB System, go to the ADB SIGN-ON USER'S GUIDE (click on the name), for instructions.)

At this menu, type 01 in the CODE field and press the ENTER key, to go to the NIH AWARD

PROCESSING SYSTEM MENU.

1.	Add an Award Request

Go to the NIH AWARD PROCESSING SYSTEM MENU, type a 1 in the SELECT OPTION field, type in the appropriate Social Security Number in the SSNUMBER field, and press the ENTER key. The AWARD PROCESSING SYSTEM- ADD SCREEN will then appear. The only fields which may be entered are the AWARD AMOUNT and REMARKS fields. Tab to these fields, and make the appropriate entries.

Please note that the dollar limit for these on-the-spot awards is currently $2,500. Also, please note that only employees who currently receive their payroll earnings via electronic funds transfer to their financial institution may receive an award via this online system.

When you have finished and the request is complete, press the ENTER key to add the request to the system.

When you have added a request and pressed the ENTER key, if you wish to add another one, enter the new EIN number and press the ENTER key again. The screen will clear the previous data (except for the new EIN you just typed in). Enter the AWARD AMOUNT and REMARKS, and then press the ENTER key again, to add this new award request. You may repeat these steps as many times as necessary, until you have added all of the requests you have at this time.

To simply exit the request screen, press the F7 key.

To return to the FUNCTION SELECTION MENU, press the F7 key.

2.	Change or Delete an Award Request

Go to the NIH AWARD PROCESSING SYSTEM MENU, type a 2 in the SELECT OPTION field, type the appropriate Social Security Number in the SSNUMBER field, and press the ENTER key. The AWARD PROCESSING SYSTEM - CHANGE SCREEN will appear.

Once an award request is created, it may be changed. Please note, though, that an approved award may only be changed on the same day as the approval. Approved awards are scheduled for immediate payment from Treasury on the day following the approval. If an approved award is changed, its status will change from 'APPROVED' to 'ACTIVE', and must be reapproved.

Also, please note that an award request may also be deleted on this screen. Even approved awards may be deleted, but again, the deletion must occur on the same day as the approval. Otherwise, the deletion will be blocked, since the payment request would have been sent to Treasury.

On the Change Screen, you may only update 2 fields, the AWARD AMOUNT and the REMARKS fields. Tab to the appropriate fields, and make the desired changes.

After you have completed your changes, press the ENTER key. If you are deleting the request press the F9 key.

To simply exit the request screen, press the F7 key.

To return to the FUNCTION SELECTION MENU, press the F7 key.

3.	Approve an Award Request

Go to the NIH AWARD PROCESSING SYSTEM MENU, type a 3 in the SELECT OPTION field, type the appropriate Social Security Number in the SSNUMBER field, and press the ENTER key. The AWARD PROCESSING SYSTEM - APPROVE SCREEN will appear.

To approve the award request displayed, press the ENTER key. The status will change from 'ACTIVE' to 'APPROVED'. (Also, if your ADB System is currently set up to direct your output to a printer, a hard copy of the approved request will be printed, as well).

To return to the FUNCTION SELECTION MENU, press the F7 key.

4.	Display Award(s) Status

Go to the NIH AWARD PROCESSING SYSTEM MENU, type a 4 in the SELECT OPTION field, type the appropriate Social Security Number in the SSNUMBER field, and press the ENTER key. The AWARD PROCESSING SYSTEM - ON-THE-SPOT CASH AWARD LIST SCREEN for the selected person will appear.

If the person has one or more awards listed, Tab to the left of the item(s) you wish to select, and type an 'S'. Then, press the ENTER key. The detailed screen(s) for the item(s) selected will then be displayed. Press the ENTER key to go to the next screen, if there is more than one.

To return to the AWARD LIST Screen from a detailed DISPLAY Screen, press the F2 key.

To return to the FUNCTION SELECTION MENU, press the F7 key.

FIELD DEFINITIONS

AWARD PROCESSING SYSTEM -ADD/CHANGE SCREEN

EMPLOYEE NAME - The name of the employee for whom the award is being requested. DISPLAY ONLY.

CAN - The employee's payroll CAN Number. DISPLAY ONLY.

EMPLOYEE EIN - The employee's EIN Number. DISPLAY ONLY.

AWARD AMOUNT - The cash amount of the award being requested. THIS FIELD MAY BE ENTERED/CHANGED.

AWARD STATUS - The status of the award request. DISPLAY ONLY.

TREASURY SCHEDULE - The Treasury Schedule number. DISPLAY ONLY.

LAST UPDATE - The date when this request was last updated. DISPLAY ONLY.

REQUESTER/ADBID - The name and ADB ID of the person requesting the award. DISPLAY ONLY.

APPROVER/ADBID - The name and ADB ID of the person approving the request. DISPLAY ONLY.

APPROVAL DATE - The date on which the request was approved. DISPLAY ONLY.

REMARKS - Any remarks pertaining the award request. THIS FIELD MAY BE ENTERED/CHANGED.

AWARD PROCESSING SYSTEM - APPROVE SCREEN

EMPLOYEE NAME - The name of the employee for whom the award has been requested. DISPLAY ONLY.

CAN - The employee's payroll CAN Number. DISPLAY ONLY.

EMPLOYEE EIN - The employee's EIN Number. DISPLAY ONLY.

AWARD AMOUNT - The cash amount of the award being requested. DISPLAY ONLY.

AWARD STATUS - The status of the award request. DISPLAY ONLY.

TREASURY SCHEDULE - The Treasury Schedule number. DISPLAY ONLY.

LAST UPDATE - The date when this request was last updated. DISPLAY ONLY.

REQUESTER/ADBID - The name and ADB ID of the person requesting the award. DISPLAY ONLY.

APPROVER/ADBID - The name and ADB ID of the person approving the request. DISPLAY ONLY.

APPROVAL DATE - The date on which the request was approved. DISPLAY ONLY.

REMARKS - Any remarks pertaining the award request. THIS FIELD MAY BE ENTERED/UPDATED.

AWARD STATUS SCREEN

REQUEST NUMBER - The cash award request number. DISPLAY ONLY.

STATUS - The status of the request. DISPLAY ONLY.

APPRV DATE - The date the request was approved. DISPLAY ONLY.

AMOUNT - The amount of the cash award. DISPLAY ONLY.

ICD - The person's Institute, Center or Division. DISPLAY ONLY.

(PLEASE NOTE: If you have any questions regarding the ADB System, the On-the-Spot Cash Awards function, or this User's Guide/Web Page, please call the CIT Technical Assistance and Support Center (TASC), at 4-CIT (301-594-3278).

last updated: 4/28/97 by Paul Riordan, ISB