United States

Department of
Agriculture
Food Safety
and Inspection
Service
FSIS Directive
4451.8
Revision 1

Spot Award
Program

SPOT AWARD PROGRAM

TABLE OF CONTENTS
PART ONE--BASIC PROVISIONS

Title
I.
II.
III.
IV.
V.
VI.
VII.

VIII.

IX.

X.

XI.
XII.

Page No.

PURPOSE . . . . . . . . . . . . . . . .
CANCELLATION . . . . . . . . . . . . . .
REASON FOR REISSUANCE . . . . . . . . .
REFERENCES . . . . . . . . . . . . . . .
ABBREVIATIONS AND FORMS . . . . . . . . .
POLICY . . . . . . . . . . . . . . . . .
DEFINITIONS . . . . . . . . . . . . . . .
A. Approving Official . . . . . . . . . . . .
B. Recommending Official . . . . . . . . . .
C. Spot Award . . . . . . . . . . . . . .
AUTHORITY AND ELIGIBILITY . . . . . . . . .
A. Authority . . . . . . . . . . . . . . .
B. Eligibility . . . . . . . . . . . . . . .
AWARD AMOUNT . . . . . . . . . . . . . .
A. Minimum . . . . . . . . . . . . . . .
B. Maximum . . . . . . . . . . . . . . .
DETERMINING APPROPRIATE RECOGNITION . .
A. Types of Achievements . . . . . . . . . .
B. Amount of Award . . . . . . . . . . . .
C. Affect on Other Awards . . . . . . . . . .
APPEALS . . . . . . . . . . . . . . . . .
SUPPLEMENTING THIS DIRECTIVE . . . . . .
ATTACHMENT 1-1, Nonmeasurable Benefits Scale for
Spot Awards . . . . . . . . . . . . . . .

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PART TWO--SUBMITTING, PROCESSING, AND PAYING OF AWARDS

I.

II.

III.

PREPARING AND SUBMITTING NOMINATIONS

A. Who Submits . . . . . . . . . . .
B. When to Submit . . . . . . . . . .
C. Confidential Handling . . . . . . . .
D. Required Forms . . . . . . . . . .
OBTAINING APPROVALS . . . . . . . . .
A. Recommending Official . . . . . . . .
B. Employee's Supervisor . . . . . . . .
C. Approving Official . . . . . . . . . .
DISAPPROVAL . . . . . . . . . . . .
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3/18/02

Title
IV.

V.
VI.
VII.

Page No.

PAYING AND PROCESSING OF APPROVED AWARDS .

8

A. Methods of Payment . . . . . . . . . . . . .
8
B. Taxes . . . . . . . . . . . . . . . . . .
8
AWARD PRESENTATION . . . . . . . . . . . . .
9
INTERNAL CONTROLS . . . . . . . . . . . . .
9

ERRONEOUS PAYMENTS . . . . . . . . . . . .
9
ATTACHMENT 2-1, Sample Form AD-287-2 for Spot Award
11

ATTACHMENT 2-2, Sample FSIS Form 4451-8,

Spot Award Certificate. . . . . . . . . . . . .

12

ATTACHMENT 2-3, Delegated Authorities to Approve

Spot Awards . . . . . . . . . . . . . . . . .
13

ii

UNITED STATES DEPARTMENT OF AGRICULTURE

FOOD SAFETY AND INSPECTION SERVICE

WASHINGTON, DC

FSIS DIRECTIVE

4451.8
REVISION 1

3/18/02

SPOT AWARD PROGRAM

PART ONE--BASIC PROVISIONS

I.

PURPOSE

This directive establishes policy and procedures to grant spot awards under the Spot
Award Program. Spot awards may be effective in promoting employee productivity and
creativity by promptly rewarding contributions to the quality, efficiency, and effectiveness of
Government operations.
II.

CANCELLATION

FSIS Directive 4451.8, dated 8/7/95.

III.

REASON FOR REISSUANCE

A.
This directive updates procedures for granting spot awards.
Convenience checks are no longer used to convey spot awards.
B.
IV.

The minimum amount for a spot award is increased from $25 to $50.

REFERENCES

5 CFR 451, Incentive Awards

USDA Guide for Employee Recognition
Departmental Guidance on Spot Award Program, dated 09/10/01
NFC Title 1, Payroll/Personnel Manual, 01-12, Alternative Method of Payments for
Individual/Group Spot Award
* * *
FSIS Directive 3730.2, Waiver of Claims Against Employees Arising from Erroneous
Payments of Pay and Allowances
FSIS Directive 4451.6, Non-Monetary Award Recognition
FSIS Directive 4451.7, Time Off Award Program
FSIS-AWD-CAT, Catalog for Non-Monetary Award Items
DISTRIBUTION:

OPI:

All Offices

HRD Performance Evaluation

and Recognition Branch

V.

ABBREVIATIONS AND FORMS

The following will appear in their shortened form in this directive:

* * *
HRFO
HRD
NFC
OPF
* * *
PERB
* * *
SPO

Human Resources Field Office

Human Resources Division
National Finance Center
Official Personnel Folder

Performance Evaluation and Recognition Branch, HRD

Servicing Personnel Office

Form AD-287-2, Recommendation and Approval of Awards

Form AD-334, Statement of Earnings and Leave

FSIS Form 4451-8, Spot Award Certificate

SF 50-B, Notification of Personnel Action

VI.

POLICY

It is FSIS policy to:

A.
service.
B.

Recognize employees with spot awards for excellence in performance or

Ensure that consideration for awards is:

1.
Made without regard to political, religious or labor organization
affiliation or non-affiliation, race, color, sex, age, national origin, disability, sexual
orientation, or marital or family status.
2.
VII.

Not based on personal favoritism or patronage.

DEFINITIONS

A.
Approving Official. The supervisor of the recommending official or the
appropriate supervisory official with authority to approve spot awards.
* * *
B.
Recommending Official. The individual recommending the employee for a
spot award.

Page 2

FSIS DIRECTIVE 4451.8

REVISION 1
PART ONE
C.
Spot Award. A cash award given to individuals or groups for a special act or
achievement. The award is within prescribed dollar limits and requires a minimal amount
of time and documentation to process.
* * *
VIII.

AUTHORITY AND ELIGIBILITY

Supervisors may grant employees or groups of employees immediate monetary

recognition for special acts or services that warrant such awards.
A.
Authority. Spot awards are made under the Agency's authority to grant
Superior Accomplishment Awards. They are separate from performance awards which
are awards based on the employee's rating of record for recurring duties.
B.
Eligibility. All employees are eligible to receive spot awards except Senior
Executive Service members. Contractors and volunteers are not eligible to receive spot
awards.
IX.

AWARD AMOUNT

Spot awards are granted in increments of $25. There is no limit in the number of
awards an employee can receive in one year.
A.

Minimum. The minimum award amount for a single spot award is $50.

B.
Maximum. The maximum award amount for a single spot award is $500.
Since spot awards are limited in amount and do not substitute for larger awards
granted under the provisions for Superior Accomplishment Awards (Examples:
extra effort, suggestion, or invention), such substitutions would undermine
the integrity of the Incentive Awards Program by denying an employee greater
monetary recognition for an achievement if warranted.
X.

DETERMINING APPROPRIATE RECOGNITION

Types of Achievements. Use spot awards to reward deserving efforts that

A.
otherwise may be unrecognized. Examples include:
1.

Producing exceptionally high quality work under tight deadlines.

2.

Performing added or emergency assignments in addition to regular

duties.
3.
Demonstrating exceptional courtesy or responsiveness in dealing
with customers and coworkers.
Page 3

3/18/02

4.
Exercising extraordinary initiative or creativity in addressing a critical
need or difficult problem.
B.
Amount of Award. The amount should be proportionate to the value of the
recognized contribution. Supervisors should use the Nonmeasurable Benefits Scale for
Spot Awards (see Attachment 1-1) to determine the appropriate dollar amount for a specific
contribution.
C.

Affect on Other Awards.

1.
Combined with Non-Monetary Award. Spot awards may be used
alone or combined with non-monetary awards (see FSIS Directives 4451.6, 4451.7,

and the Catalog for Non-Monetary Award Items).

2.
Relationship to Performance Awards. An employee may receive
only one award for a contribution. However, a supervisor may recognize the sustained
performance of an employee with a performance award (based on the rating of record)
when the employee has also received a spot award during the same year. The performance
award should be supported by contributions other than those recognized with the spot
award. The supervisor should consider the previous recognition when calculating the
amount of the performance award.
XI.

APPEALS

Non-receipt of a spot award or the amount of a spot award may not be appealed. This does
not waive any rights in conjunction with Article XXXII of the Collective Bargaining
Agreement.
XII.

SUPPLEMENTING THIS DIRECTIVE

All exceptions and written issuances concerning procedures, policies, or interpretation of

this Program must be approved by the Chief, PERB.

Page 4

APPLICATION

VALUE OF BENEFIT

$50 - 200

$200 - 500

$200 - 500

Contributions of substantial value and

extended application are more
appropriately awarded with higher
dollar amounts. Consider granting
another type of monetary award.

Moderate

Page 5
(and 6)

Change or modification of an operating principle

or procedure which has moderate value
sufficient to meet the minimum standard for a
cash award, and improvement of rather limited
value of a product, activity, program, or service
to the public.
EXAMPLE: "FOR IDENTIFYING AN
UNUSUAL PATHOLOGICAL CONDITION,
THEREBY CONTRIBUTING TO MAINTAINING
A WHOLESOME MEAT SUPPLY."
Substantial

3/18/02

Substantial change or modification of an

operating principle or procedure, a highly
significant improvement to the value of a
product, major activity or program, or service to
the public.
EXAMPLE: "FOR YOUR TIRELESS EFFORTS
IN REVITALIZING THE SAFETY PROGRAM IN
THE ANYTOWN CIRCUIT."

FSIS DIRECTIVE 4451.8

REVISION 1
ATTACHMENT 1-1

Extended
Affects functions, mission or personnel
of an entire regional area. May apply
to an entire independent agency or
large bureau. (EXAMPLE: Affects a
broad area of public health or science.)

NONMEASURABLE BENEFTIS SCALE FOR SPOT AWARDS

Limited
Affects functions, mission or
personnel of one office, or an
organizational element of a
headquarters. (EXAMPLE: Affects
a small area of public health or
science.)

FSIS DIRECTIVE 4451.8

REVISION 1
PART TWO
PART TWO--SUBMITTING, PROCESSING, AND PAYING OF AWARD S

I.

PREPARING AND SUBMITTING NOMINATIONS

A.
Who Submits. The immediate supervisor or other Agency official wishing
to recognize an employee initiates the recommendation.
B.
When to Submit. The recommending official submits the award
nomination immediately after the employee completes the achievement.
C.

Confidential Handling. The recommending official should:

1.
been approved.

Not inform the employee of the award nomination until after it has

2.
Consider the award documentation privileged information and make
the information available only to those involved in the decision process and others on a
need-to-know basis, until the award is presented.
D.
Required Forms. The supervisor or other recommending official submits
the following for a spot award nomination:
1.
Form AD-287-2. (See Attachment 2-1.) Provide required
justification in Block 11. Summarize the achievement in 25 words or less. (The same
narrative justification may be used on FSIS Form 4451-8.) When preparing Form
AD-287-2 for a group, attach a list of group members names, social security numbers,
and the amount of the spot award each employee should receive.
2.
II.

FSIS Form 4451-8. (See Attachment 2-2.)

OBTAINING APPROVALS

Submit the award nomination forms through appropriate supervisory and administrative
channels as follows: * * *
A.
Recommending Official. The recommending official signs
Form AD-287-2 and forwards the award nomination through appropriate supervisory
channels to the approving official for review and concurrence.
B.
Employee's Supervisor. If the award is recommended by someone
other than the supervisor, obtains concurrence from the nominated employee's
supervisor. * * *

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3/18/02

C.
Approving Official. A supervisory level higher than that of the
recommending official approves the award. (See Attachment 2-3 for a list of approving
officials for spot awards.) The approving official determines if the recommended award is
appropriate, and approves the award by signing and dating the AD-287-2, and signing the
spot award certificate.
* * *
III.

DISAPPROVAL

If the approving official or intermediate supervisor does not approve the spot award
nomination, the official informs the recommending official of the reason(s) for disapproval.
Recommend an alternate form of recognition, if appropriate.
IV.

PAYING AND PROCESSING OF APPROVED AWARDS

A.
Method of Payment. NFC issues spot awards using an accelerated
direct deposit payment program.

1.
The approving or recommending official or administrative contact:
forwards the approved Form AD-287-2 expeditiously to the appropriate SPO
(NOTE: The SPO for headquarters employees is PERB and for field employees
it is HRFO) either by:
a.
Faxing the approved AD-287-2 to either PERB
(202) 690-2773, or HRFO (612) 370-2375. Mail the original form to the appropriate
SPO.
b.

Hand-carrying the approved AD-287-2 to the SPO.

2.
The SPO immediately processes the action and informs the
supervisor or the administrative office of its approval. A direct deposit payment is
issued within 3 days.

B.
Taxes. Spot awards are issued in the net amount of the award. NFC

automatically calculates the value of the award plus appropriate taxes. The SF 50-B
reflects the total amount of the award (i.e., cash award plus taxes). The employees
Form AD-334 lists the award and reads the amount of the award was increased to
cover taxes. Each employee is responsible for reconciling the biweekly payslip with the
award(s) received.

Page 8

FSIS DIRECTIVE 4451.8

REVISION 1
PART TWO
V.

AWARD PRESENTATION

The recommending or other appropriate official should personally present the signed
certificate to the employee in the presence of their peers as soon as notification of
processing is received from the SPO. Delaying the presentation will result in the
employee receiving the award as a direct deposit in their account before
notification. If there is a reason the award cannot be presented immediately, the
supervisor should notify the SPO to arrange for a delay in the processing of the
AD-287-2. When presenting the award, state the reason(s) for the award.
VI.

INTERNAL CONTROLS

PERB:

A.
Monitors the use of spot awards and ensures approved actions are according
to established policy.
B.
Provides periodic reports to Deputy Administrators and Staff Directors for
monitoring and evaluating the use of spot awards in their Programs.
VII.

ERRONEOUS PAYMENTS

If a spot award is paid erroneously, follow the procedures outlined in

FSIS Directive 3730.2.

Page 9
(and 10)

3/18/02

FSIS DIRECTIVE 4451.8

REVISION 1
ATTACHMENT 2-1
SAMPLE FORM AD-287-2 FOR SPOT AWARD

Page 11

3/18/02

FSIS DIRECTIVE 4451.8

REVISION 1
ATTACHMENT 2-2
SAMPLE FSIS FORM 4451-8, SPOT AWARD CERTIFICATE

Page 12

FSIS DIRECTIVE 4451.8

REVISION 1
ATTACHMENT 2-3
DELEGATED AUTHORITIES TO APPROVE SPOT AWARDS
Lowest Level Approving Official for
Spot Awards 1/

PROGRAM

FIELD

HEADQUARTERS

Office of Administrator

N/A

Staff and Office Directors

Office of Management

N/A

Division Directors or
Equivalent at the GS-15
level or above

Office of Field Operations

District Managers

Division Directors or
Equivalent at the GS-15
level or above

Office of Policy, Program

Development and
Evaluation

N/A

Assistant Deputy
Administrators

Office of Public Health

and Science

N/A

Division and Laboratory

Directors

1/

All spot awards must be approved at a higher level than the level at which they are
recommended. When the official listed recommends the award, the award should be approved
by an official at the next higher supervisory level.

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3/18/02