DT-20-02, Management Directive 10.43, Time and Labor Reporting

Management Directive 10.43, Time and Labor Reporting

ML19148A504
Person / Time
Issue date:	01/23/2020
From:	Jackie Jones NRC/OCFO
To:
Jones, Jackie
Shared Package
ML19148A502	List: DT-20-02, Management Directive 10.43, Time and Labor Reporting
References
DT-20-02 MD 10.43
Download: ML19148A504 (37)

Text

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

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 10.43 TIME AND LABOR REPORTING DT-20-02 Volume 10, Part 2:

Personnel Management Position Evaluation and Management, Pay Administration, and Leave Approved By:

Kristine L. Svinicki, Chairman Date Approved:

January 23, 2020 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 Financial Officer Division of the Comptroller Contact Name:

Jackie Jones EXECUTIVE

SUMMARY

Management Directive 10.43, Time and Labor Reporting, is being revised to Reflect the NRCs system upgrade for the Time and Labor (T&L) System from PeopleSoft Human Resources Management System (HRMS) version 7.51 to HRMS version 9.2 Web-based.

Update the T&L reporting responsibilities for timekeepers and approving officials.

Describe the position and responsibilities of the Agency Time and Labor Policy Coordinator in the Office of the Chief Financial Officer.

Describe establishing a Cost Activity Code (CAC).

TABLE OF CONTENTS I. POLICY................................................................................................................................. 2 A. Time and Labor (T&L) Reporting..................................................................................... 2 B. General Guidance........................................................................................................... 3 II. OBJECTIVES....................................................................................................................... 4 III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIoNS OF AUTHORITY.............. 5 A. Chief Financial Officer (CFO).......................................................................................... 5 B. Office Directors and Regional Administrators.................................................................. 5

MD 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

2 C. Comptroller, Division of the Comptroller (DOC), Office of the Chief Financial Officer (OCFO)........................................................................................................................... 6 D. Agency Time and Labor Policy Coordinator (ATLPC)...................................................... 6 IV. APPLICABILITY................................................................................................................... 7 V. DIRECTIVE HANDBOOK..................................................................................................... 7 VI. REFERENCES...................................................................................................................... 7 I. POLICY It is the policy of the U.S. Nuclear Regulatory Commission (NRC) that recorded time be detailed, as necessary, for preparing payroll salaries and expenses, assessing NRC fees and reimbursements, supporting budget formulation and execution, interacting with the core accounting system, and supporting managerial and financial cost accounting reporting.

A. Time and Labor (T&L) Reporting

1. For NRC policies regarding hours of work, premium pay, leave, or credit hours, refer to Management Directive (MD) 4.2, Administrative Control of Funds, MD 10.42, Work Schedules and Premium Pay, and MD 10.62, Leave Administration.

2. Time is reported in 15-minute increments (See Exhibit 1 in the handbook for HRMS Time increments). For requirements regarding the minimum or maximum reporting see the MDs referenced above in Section I.A.1 of this directive.

3. The system for capturing and processing time and labor (T&L) data is the NRC Human Resources Management System (HRMS). The HRMS consists of historical Human Resources and Payroll information and a T&L module that is the agencys system of record. It is used to collect and approve time worked and tasks performed.

The HRMS also generates the biweekly payroll. The HRMS interfaces with other critical agency systems, such as the standard general ledger, fee billing, and cost accounting.

4. Time is reported in the HRMS using predefined time reporting codes (TRCs). The list of TRCs is located on the NRC HRMS SharePoint site (https://usnrc.sharepoint.com/teams/OCFO-HRMS).

5. MD 4.1, Accounting Policy and Practices, describes the responsibilities and liabilities of the employee, the timekeeper, and the approving official. Each of these parties is subject to appropriate disciplinary action for negligent or improper performance of duties. However, for any conduct of a criminal nature, Title 18 of the United States Code (U.S.C.), Section 286, Conspiracy to Defraud the Government with Respect to Claims, prescribes fines, imprisonment, or both for willfully and

MD 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

3 knowingly (not accidentally) making, presenting, or conspiring to make or present any false claims against the United States Government. Time and Labor reporting constitutes a claim against the United States Government.

B. General Guidance

1. Governmentwide cost accounting standards require the NRC to (a) Accumulate and report costs in a manner useful to managers, (b) Segment programs to match costs with outputs (e.g., planned activities),

(c) Report costs in general purpose financial reports, and (d) Assign costs to outputs.

2. The Chief Financial Officers Act of 1990, the Government Performance and Results Act of 2010, and the Federal Financial Management Improvement Act of 1996 mandate cost management requirements. As a result, the NRC is required to identify labor hours expended to derive the costs associated with carrying out its mission. By capturing labor hours by NRCs planned activities, such data serve as a foundation for developing cost information. Labor costs will be used as a tool for making better informed decisions about resource expenditures and costs associated with performing various activities in a cost-effective and efficient manner. For additional information, see Federal Accounting Standards Advisory Board Statement of Federal Financial Accounting Standard (SFFAS) No. 4, Managerial Cost Accounting Concept and Standards, July 31, 1995, which is available at http://files.fasab.gov/pdffiles/handbook_sffas_4.pdf.

3. For time and labor reporting, the NRC reports in the following categories: mission direct, mission indirect, corporate direct, corporate indirect, and administrative time.

(a) Mission direct time reflects performance of core work activities committed to fulfilling the agencys mission to provide reasonable assurance of adequate protection of public health and safety and to promote the common defense and security and to protect the environment. Employees will record their time spent on the mission-related activities they are performing irrespective of the office to which they are assigned. Time recorded for the purpose of assessing NRC fees or other reimbursements must be recorded at a level of detail sufficient for recovering billable time. See MD 4.6, License Fee Management Program, and MD 4.2, Handbook Section VIII, Reimbursable Work Performed by the NRC for Others.

(b) Mission indirect time reflects performance of activities that support the core mission direct activities. This includes supervisory and nonsupervisory support

MD 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

4 and administrative assistance time that contributes to the programmatic objectives of the agency.

(c) Corporate direct time spent executing agency corporate support activities or shared efforts that more broadly support the activities of the agency. Employees will record corporate direct time in HRMS by using dedicated cost activity code(s)

(CACs) that describe the specific support provided.

(d) Corporate indirect time reflects supervisory and nonsupervisory support and administrative assistance provided in support of corporate activities.

(e) Administrative time reflects time spent neither performing nor supporting core work on activities. Administrative time is not directly attributable to meeting the programmatic objectives of the agency, nor is it used to provide corporate support. Employees will record administrative time by using the list of approved administrative activity codes.

4. Detailed guidance regarding reporting T&L in the appropriate category, including reporting time for rotational assignments, can be found in the Office of the Chief Financial Officer (OCFO), Agency Time & Labor Policy Coordinator & Cost Activity Codes (CACs) Policy and Guidance document, located on the HRMS SharePoint site.

II. OBJECTIVES Provide an HRMS T&L system of collecting T&L data demonstrating affirmative evidence that employees are entitled to either their normal pay or to a greater or lesser amount by showing the number of hours in duty attendance and absence.

Ensure that suitable records of time absent from duty and causes of absences are recorded in the HRMS T&L system, as well as on related records in support of pay entitlement.

Provide a system of collecting and reporting employee labor hours allocated to meet the agencys program and performance objectives.

Provide a system of collecting and reporting employee T&L data for assessing the NRC fees and other reimbursements.

Provide a system of collecting and reporting employee T&L data for labor cost distribution performed in the NRC cost accounting system.

Provide managerial and financial cost reporting and reconciliations.

Provide record retention information.

MD 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

5 III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY A. Chief Financial Officer (CFO)

1. Establishes, reviews, and enforces financial management and internal control policies and standards for the HRMS T&L reporting system and processes.

2. Directs, manages, and provides policy and procedures for the reporting of T&L, including management of CAC and Enterprise Project Identification (EPID) codes.

3. Ensures compliance with applicable accounting standards and principles, as well as financial information and system functional standards for the HRMS T&L reporting system.

B. Office Directors and Regional Administrators

1. Ensure separation of assigned duties for recording T&L and certifying the correctness of such information.

2. Ensure that the appropriate approving officials and timekeepers are designated in accordance with the policies described in this MD.

3. Ensure that procedures in each reporting group provide for the timekeeper to have positive knowledge of the daily presence or absence of an employee.

4. Ensure that T&L for employees under their jurisdiction are recorded in accordance with the requirements described in this MD.

5. Ensure that all employees are aware of their responsibilities for verifying that all leave taken, all hours worked, and all hours distributed to activities have been accurately recorded in the HRMS T&L system.

6. Ensure that approving officials are aware of their responsibility to verify the accuracy of T&L data reported for employees on leave or in a travel status.

7. Ensure that all employees receive appropriate training necessary to exercise their duties in accurately reporting and validating time.

8. Request OCFO to process prior period adjustments more than 6 weeks old. Office directors or regional administrators may delegate this authority to the deputy office director or deputy regional administrator; however, this authority may not be redelegated below this level.

MD 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

6 C. Comptroller, Division of the Comptroller (DOC), Office of the Chief Financial Officer (OCFO)

1. Trains and advises all NRC staff on the proper procedures for reporting and approving T&L data.

2. Maintains current files of designations for timekeepers and approving officials.

3. Processes payroll on the basis of the hours in pay status certified in the HRMS T&L system.

4. Maintains leave records and leave accounting reports (or such modifications of these records) that may be prescribed by the Comptroller General of the United States or the Office of Personnel Management.

5. Maintains T&L records for use in preparation of fee billing, managerial, and financial cost accounting reports for internal and external use.

6. Serves as the liaison between offices using T&L data and provides governance in the proper use of T&L data by NRC organizations.

7. Conducts periodic reviews of T&L processes to ensure proper application of policy, procedures, and management controls.

8. Processes prior period adjustments more than 6 weeks old.

D. Agency Time and Labor Policy Coordinator (ATLPC)

1. The Agency Time and Labor Policy Coordinator (ATLPC) is delegated overall responsibility for the Agencys to manage CACs, develops agency standards, assists with issue resolution, and monitors agency initiatives affecting labor reporting by the Chief Financial Officer.

2. Redelegation of authority can be found in the memorandum from J.E. Dyer, CFO, to all OCFO managers and supervisors, July 10, 2013 (ADAMS Accession No. ML13192A193).

3. Oversight for the agencys CACs by performing the following functions (a) Issues and maintains agency policy on CAC and EPID Code related topics; (b) Reviews and approves new CAC requests; (c) Reviews and approves new EPID types in consultation with the agency Master Data Management group; (d) Oversees the CAC and EPID inventory, data quality, and use; (e) Conducts training on the proper use of CACs and EPIDs;

MD 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

7 (f) Monitors agency initiatives affecting labor reporting; (g) Maintains agency policy by providing NRC personnel with interim guidance when new requirements are identified; (h) Communicates guidance to NRC personnel by way of announcements, memoranda, training, and updating the HRMS SharePoint site; (i) Creates and manages CACs and EPIDs; (j) Monitors T&L data by serving as the OCFO lead for ad hoc reports and performs periodic analysis of CAC and EPID usage; and (k) Provides training by coordinating with each office and ensures that employees have been trained on proper usage of CACS and EPIDs.

(l) More detailed information regarding the roles and responsibilities of the ATLPC can be found in the OCFO Labor Reporting Policy and Guidance version 6.1 available on the HRMS SharePoint site.

IV. APPLICABILITY The provisions of this directive and handbook apply to all NRC employees except Presidential appointees, including special government employees (i.e., consultants, experts, and advisory committee members).

Refer to the Collective Bargaining Agreement Between U.S. Nuclear Regulatory Commission and National Treasury Employees Union for additional guidance applicable to bargaining unit employees.

V. DIRECTIVE HANDBOOK Handbook 10.43 provides detailed requirements and instructions for T&L reporting in the HRMS T&L system and detailed guidance regarding the responsibilities of employees, timekeepers, approving officials, and the agency time & labor policy coordinator.

VI. REFERENCES Executive Order (EO)

Executive Order 13478, Amendments to Executive Order 9397 Relating to Federal Agency Use of Social Security Numbers, 73 FR 70239 (November 18, 2008),

https://www.gpo.gov/fdsys/pkg/FR-2008-11-20/pdf/E8-27771.pdf.

MD 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

8 Federal Accounting Standards Advisory Board (FASAB)

Federal Accounting Standards Advisory Board Statement of Federal Financial Accounting Standard (SFFAS) No. 4, Managerial Cost Accounting Concept and Standards, July 31, 1995, http://www.fasab.gov.

Government Accountability Office (GAO)

GAOs Policy and Procedures Manual for Guidance of Federal Agencies, Title 7, https://www.gao.gov/products.

Nuclear Regulatory Commission Documents Cost Activity Code System is available the NRC intranet Web site https://cacs.nrc.gov/.

Collective Bargaining Agreement Between U.S. Nuclear Regulatory Commission and National Treasury Employees Union, (November 9, 2015),

http://www.internal.nrc.gov/HR/pdf/cba.pdf.

HRMS SharePoint site, https://usnrc.sharepoint.com/teams/OCFO-HRMS.

Management Directives 4.1, Accounting Policy and Practices.

4.2, Administrative Control of Funds.

4.3, Financial Management Systems.

4.4, Enterprise Risk Management and Internal Control.

4.6, License Fee Management Program.

10.42, Work Schedules and Premium Pay.

10.62, Leave Administration.

NRC Memorandum from J.E. Dyer, Chief Financial Officer, to all OCFO Managers and Supervisors, Re-delegation of Authority, July 10, 2013 (ML13192A193).

Office of Management and Budget (OMB)

OMB Office of Federal Financial Management (OFFM), Federal Financial Management System Requirements (FFMSR) Series (formerly Joint Financial Management Improvement Program system requirements), FFMSR-2, Human Resources & Payroll System Requirements, April 1999.

Other Documents Employee Express, https://www.employeeexpress.gov/.

MD 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

9 The NRC Public Document Room, https://www.nrc.gov/reading-rm/pdr.html.

United States Code Chief Financial Officers Act of 1990, as amended (31 U.S.C. 501-506, 901-903, 3512(a),

3521, and 9105-9106).

Crimes and Criminal Procedure (18 U.S.C.).

Federal Financial Management Improvement Act of 1996 (31 U.S.C. 3512 et seq.).

Government Performance and Results Modernization Act of 2010 (5 U.S.C. 306 and 31 U.S.C. 1115 et seq.).

Privacy Act of 1974, as amended (5 U.S.C. 552a).

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

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 10.43 TIME AND LABOR REPORTING DT-20-02 Volume 10, Part 2:

Personnel Management Position Evaluation and Management, Pay Administration, and Leave Approved By:

Kristine L. Svinicki, Chairman Date Approved:

January 23, 2020 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 Financial Officer Division of the Comptroller Contact Name:

Jackie Jones EXECUTIVE

SUMMARY

Management Directive 10.43, Time and Labor Reporting, is being revised to Reflect the NRCs system upgrade for the Time and Labor (T&L) System from PeopleSoft Human Resources Management System (HRMS) version 7.51 to HRMS version 9.2 Web-based.

Update the T&L reporting responsibilities for timekeepers and approving officials.

Describe the position and responsibilities of the Agency Time and Labor Policy Coordinator in the Office of the Chief Financial Officer.

Describe establishing a Cost Activity Code (CAC).

TABLE OF CONTENTS I.

OVERVIEW........................................................................................................................... 3 II. NRC TIME AND LABOR (T&L) PROCESS.......................................................................... 3 A. Responsibilities............................................................................................................... 3 B. Privacy Act Statement..................................................................................................... 7 III. SYSTEM SECURITY AND NAVIGATION............................................................................. 8 A. System Security.............................................................................................................. 8 B. Navigation....................................................................................................................... 9 IV. EMPLOYEE RESPONSIBILITIES........................................................................................ 9

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

2 A. Overview......................................................................................................................... 9 B. Obtaining Training......................................................................................................... 10 C. Establishing and Updating Work Schedules.................................................................. 10 D. Establishing and Updating Work Activities..................................................................... 10 E. Entering Daily Time....................................................................................................... 11 F. Correcting Current Period Errors................................................................................... 12 G. Reviewing and Approving Time Reported...................................................................... 13 H. Reporting Tools............................................................................................................. 13 I.

Identifying and Correcting Prior Period Time (PPA)....................................................... 13 J. Other References.......................................................................................................... 14 V. TIMEKEEPER RESPONSIBILITIES................................................................................... 14 A. Overview....................................................................................................................... 14 B. Maintaining Documentation for Time and Labor (T&L) Groups...................................... 15 C. Submission of Employee Schedules.............................................................................. 15 D. Assisting New Employees with Time Entry.................................................................... 16 E. Monitoring Timeliness and Accuracy of Posted Hours................................................... 16 F. Entering Employee Time............................................................................................... 17 G. Processing Time in Human Resources Management System....................................... 17 H. Coordinating Approval................................................................................................... 18 I.

Prior Pay Period Adjustments (PPA)............................................................................. 18 VI. APPROVING OFFICIAL RESPONSIBILITIES.................................................................... 18 A. Overview....................................................................................................................... 18 B. Approving Changes to Time and Labor (T&L) Groups................................................... 19 C. Approving Employee Work Schedules and Assigning Work.......................................... 19 D. Approving Time and Labor............................................................................................ 19 E. Approving the Timesheets............................................................................................. 19 F. Online Approval............................................................................................................. 20 G. Approving Prior Period Adjustments (PPAs).................................................................. 20 VII. COST ACTIVITY CODE (CAC) PROCESS........................................................................ 20 VIII.GLOSSARY....................................................................................................................... 21

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

3 EXHIBITS EXHIBIT 1 HRMS Time Increments..................................................................................... 24 EXHIBIT 2 Human Resources Management System (HRMS) Time and Labor (T&L) Reporting for Prior Period Adjustments (PPA).......................................... 25 EXHIBIT 3 Sample Request Memo for Review/Approval of Prior Period Adjustment(s) of More Than 6 Weeks................................................................ 28 I. OVERVIEW A. The Human Resources Management System (HRMS), consisting of Human Resources, Payroll, and Time and Labor (T&L) modules, is the U.S. Nuclear Regulatory Commissions (NRC) system of time entry records. The HRMS was developed following the guidelines as outlined in Management Directive (MD) 4.3, Financial Management Systems. In addition, MD 4.4, Enterprise Risk Management and Internal Control, describes how the NRCs financial systems comply with Federal financial system requirements, and applicable Federal accounting standards.

B. The T&L module establishes a single-entry mechanism to allow employees, each pay period, to accurately record hours worked by activity code as well as employee absences. All employee T&L data captured by the T&L module are used for preparing payroll, fee billings, budget formulation and execution, as well as project, resource, financial, and cost management.

C. Within the HRMS T&L system, employees enter T&L data online. Timekeepers and approving officials also provide support to the HRMS T&L system. The role of timekeepers is to assist employees with the time entry and approval processes. The HRMS T&L system includes job aids to assist employees, timekeepers, and approving officials in entering, verifying, processing, and approving time. (See HRMS SharePoint site, at https://usnrc.sharepoint.com/teams/OCFO-HRMS.)

II. NRC TIME AND LABOR (T&L) PROCESS A. Responsibilities Following is a summary of the responsibilities for employees, timekeepers, and approving officials. More details are available in Sections IV through VI of this handbook.

1. Employees All NRC employees are responsible for submitting to their supervisor, through the HRMS T&L system, a Work Schedule Request to identify or update their work schedules, as described in MD 10.42, Work Schedules and Premium Pay, and in the guidance on the HMRS SharePoint site. Normally, employees will submit any

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

4 updates before the beginning of the pay period in which the change will become effective. Employees are responsible for (a) Obtaining training on the HRMS T&L system.

(b) Entering their time into the HRMS T&L system at least biweekly; it is recommended that they do so on a daily basis.

(c) Adhering to the NRC T&L policies and guidelines to properly report T&L hours.

(See HRMS SharePoint site for specific leave and work activity codes.)

(d) Requesting any new staff assignments from their supervisor that requires a new cost activity code (CAC) to their HRMS user preferences. For license fee billable work, the new staff assignments must include a docket and Enterprise Project Identifier (EPID).

(e) Identifying any new work that requires creation of a new CAC to be established in accordance with the agency, office, or license fee policy.

(f) Recording their hours accurately and in a timely manner against assigned activities and attesting to the accuracy of the time reported.

(g) Correcting any time entry errors during the current and prior pay periods, as applicable.

(h) Seeking approval for leave requests, irregular or occasional overtime requests, and credit hour work/plans, as described in (i) MD 10.42, Work Schedules and Premium Pay; (ii) MD 10.62, Leave Administration; and (iii) the Collective Bargaining Agreement between the U.S. Nuclear Regulatory Commission and National Treasury Employees Union, November 9, 2015.

(i) Ensuring their leave balances are accurate.

2. Special Government Employees Special Government employees (i.e., consultants, experts, and advisory committee members) are responsible for (a) Entering their time into the HRMS T&L system at least biweekly; it is recommended that they do so on a daily basis.

(b) Recording their hours accurately and in a timely manner against assigned activities and attesting to the accuracy of their reported time.

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

5 (c) Correcting any time entry errors during the current and prior pay periods, as applicable.

(d) Adhering to the NRCs T&L policies and guidelines to properly report T&L hours. (See HRMS SharePoint site for specific leave and work activity codes.)

3. Timekeepers Timekeepers provide coordination between NRC employees and the Office of the Chief Financial Officers (OCFO) payroll organization. Timekeepers play a critical role in ensuring that time and labor is recorded and approved in accordance with NRC policy. Timekeepers facilitate the overall time entry and approval processes and ensure problems are resolved. Specifically, timekeepers are responsible for (a) Notifying the OCFO payroll organization of any new, transferred, departed, or retired employees or any employees on detail or rotational assignment in their designated T&L group(s). This notification is done by completing requests through the HRMS T&L system, which includes, T&L Designation, and T&L Group Change.

(b) Assisting employees with time entry, resolving time entry errors, and ensuring that employees input their time on a timely basis each pay period.

(c) Advising new employees of training information, such as the HRMS Job Aids that are available on the HRMS SharePoint site.

(d) Advising employees of new or updated policy and guidance posted on the HRMS SharePoint site.

(e) Facilitating employee time reporting, such as viewing HRMS to detect and correct current pay period errors and coordinating the review, approval, and submission of corrections to current and prior pay period records. Timekeepers will only correct current pay periods records in an emergency situation.

(f) Maintaining complete and accurate official time entry records and supporting documentation not stored in HRMS for 3 years to ensure that T&L data are protected from disclosure, alteration, or loss, and preserving military orders, leave, jury duty, excused absence, or other authorized paid absence documentation.

(g) Directing employees to HRMS.Resource@nrc.gov or the HRMS helpdesk for assistance with the time entry or T&L reporting policies and guidelines (the HRMS helpdesk is available at 301-415-1234, option 3).

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

6

4. Approving Officials Approving officials must have knowledge of the work schedule, work assignments, and hours of each employee in their T&L group(s) to ensure that T&L information recorded in the HRMS is complete and accurate. Approving officials are responsible for (a) Knowing agency T&L policy guidelines.

(b) Assigning CACs, EPIDs, and dockets to employees in the CAC System and the Reactor Program System, as applicable.

(c) Reviewing and approving employee time, indicating that the total time and the distribution of hours to activities are correct, and verifying the accuracy of reported hours.

(d) Processing actionable items within the approving officials worklist to authorize employee requests. The worklist may contain requests for leave, irregular or occasional overtime, work schedules, and credit hours.

(e) Reviewing and approving all time containing prior period adjustments (PPAs).

(i) Corrections less than 6 weeks from the date that the original time was reported require the approving official to certify that the change requested is correct for compensation, labor reporting, and fee assessment.

(ii) Corrections more than 6 weeks old require a written request from the office director or regional administrator to the Comptroller, Division of the Comptroller (DOC), OCFO. The written request must identify the proposed change and provide acceptable supporting documentation. An office director or regional administrator may delegate this authority to the deputy office director or deputy regional administrator; however, this authority may not be redelegated below the level of deputy office director or deputy regional director. For the supporting documentation to be acceptable, it must provide clear evidence to validate the basis for change. The following are examples of acceptable documentation:

Evidence that the employee did not enter his or her own time and the time reported was in error, Correspondence or work products that clearly show labor reporting codes contrary to how time was reported, and Previously approved request for irregular or occasional overtime or compensatory time, credit hour plans, leave, or other documentation to substantiate the change.

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

7 (iii) Anecdotal reviews of labor hours after 6 weeks do not constitute an acceptable reason to change previously reported and approved time. In addition to the documentation, the request must include An explanation of why the change was not reported in a timely manner and the reason the change is required; An identification of the corrective actions taken to address the untimely notification of changes and actions taken to avoid recurrence of the error(s) reported; A statement that the employee and approving official have been reminded of their responsibilities to report and approve time in an accurate and timely manner; and An identification of the effect the change will have on fee billing, high-level waste reporting, reimbursable cost reporting, and/or information technology (IT) software development activities.

(iv) A request for correction without justification and acceptable documentation will be denied based on the employees and approving officials previous certification that the time reported was complete and accurate.

(v) Requests for corrections more than 6 weeks after the requested date will not be made except in rare, exceptional circumstances. Examples include circumstances that affect employee compensation or specific fee or reimbursable agreement bills, or circumstances that are material to the financial reporting of the agency.

B. Privacy Act Statement

1. Privacy Act Pursuant to Section 552a(e)(3) of the Privacy Act of 1974, as amended, the following statement is furnished to individuals who supply information to the NRC using the online NRC HRMS T&L system: This information is maintained in a system of records designated as NRC-21 and described in the Federal Register notice published on August 20, 1990 (55 FR 33981), or the most recent Federal Register publication of the NRCs Republication of Systems of Records Notices, which is available in the NRC Public Document Room. The Public Document Room is available on the NRC public Web site at https://www.nrc.gov/reading-rm/pdr.html.

2. Principal Purposes The information gathered using the online HRMS T&L system is obtained to record hours worked and hours absent from duty (for example, to reflect leave or compensatory time used). This information is used in payroll, fee billing, resource

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

8 tracking, and managerial and financial cost accounting; the employees social security number is used for computer processing of this information.

3. Routine Uses The information gathered using the online HRMS T&L system may be used for statistical purposes in the preparation of budget transmittals to the Office of Management and Budget. The information may also be disclosed to an appropriate Federal, State, or local agency in the event the information indicates a violation, or a potential violation, of law or during an administrative or judicial proceeding. In addition, this information may be transferred to an appropriate Federal, State, or local agency to the extent relevant and necessary for an NRC decision or to an appropriate Federal agency to the extent relevant and necessary for that agencys decision about the individual.

4. System Managers Address The system managers address is as follows:

Office of the Chief Financial Officer U.S. Nuclear Regulatory Commission Washington, DC 20555-0001 III. SYSTEM SECURITY AND NAVIGATION A. System Security

1. Because of the sensitivity of the data contained in the HRMS T&L system, users must comply with the following guidance relating to the access to, and the control of, information generated by this system. Each user is personally responsible for the security of the T&L data that he or she handles and processes. The T&L data require protection from disclosure, alteration, and loss.

2. Users will use their local area network (LAN) User IDs and LAN passwords to access the HRMS T&L system. Users are required to change the LAN User IDs and passwords in accordance with the NRC IT security policies and procedures.

3. A user identification is associated with each approving transaction. Users are personally responsible for all transactions attributed to user identification. Therefore, passwords must be safeguarded and must not be shared with anyone.

4. Five unsuccessful password logon attempts will prohibit system access. (Although the NRC has single sign-on, there may be instances where you will have to logon with your password.)

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

9

5. Users will not leave a logged-on terminal unattended. Users will log off when processing is completed. The HRMS T&L system will log off a user after 15 minutes of inactivity.

6. Discard all printed reports and screen shots in waste containers designated for disposal of classified or sensitive material.

B. Navigation

1. The data reflected in the HRMS T&L system job aids, accessed through the HRMS SharePoint site, are to be used to teach system functionality. These instructions provide examples to demonstrate how to use the system features and will not be used to interpret NRC time and labor policy.

2. Employees have access to both the employee and timekeeper job aids.

IV. EMPLOYEE RESPONSIBILITIES A. Overview The HRMS T&L system is used by all NRC employees to record their time to assigned activities on a daily basis. To input time into the HRMS T&L system, employees responsibilities include:

1. Establishing and updating their work schedules (as described in MD 10.42);

2. Requesting that their supervisors assign them new activities to their HRMS employee preferences;

3. Recording their daily time accurately and in a timely manner against assigned activities;

4. Obtaining online approval for time, irregular or occasional overtime, credit hours, and leave, by submitting a Leave/Additional Hours Request. This request will provide adequate supporting material for time entered into the HRMS T&L system. As stated in the Collective Bargaining Agreement, if it is impractical to request and obtain prior approval using the HRMS request function, the employee may request and obtain verbal approval, normally before earning and/or using credit hours, subject to subsequent confirmation using the HRMS request function, unless the supervisor, at his or her sole discretion, permits the plan to be requested only verbally and grants approval only verbally without a requirement for subsequent written confirmation using the HRMS request function;

5. Confirming the accuracy of their reported time; and

6. Updating PPA(s) online and verifying the timely identification of PPA(s).

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

10 B. Obtaining Training New employees or individuals who have been designated as timekeepers or approving officials may obtain training on the HRMS T&L system, which is available on the HRMS SharePoint site. Training job aids for their respective roles are available on the SharePoint site. Timekeepers are required to take training during the first pay period their security access to the system is granted.

C. Establishing and Updating Work Schedules

1. Work Schedule Request (a) Employees are responsible for establishing their initial work schedules at the beginning of a pay period. To do this, employees must submit a Work Schedule Request through the HRMS T&L system that will be approved online by their supervisors. Employees should also submit a new online request when they transfer to a new group for any reason, even if they transfer to a group within the same office. Employees must submit a new Work Schedule Request, for any changes to their work schedules, normally before the beginning of the pay period in which the change will become effective. Employees time reported is validated in the HRMS T&L system on the basis of the approved work schedule.

(b) Employees do not need to submit an online request when temporarily changing their work schedule for a single pay period. For example, if the employee is changing their compressed work schedule (CWS) day off or 8-hour workday.

2. Other Approvals (a) Employees are responsible for obtaining other prior approvals, for example, credit hour plans, irregular or occasional overtime, or leave.

(b) Additional required approvals and documentation are described in the following documents:

(i) MD 10.42, Work Schedules and Premium Pay; (ii) MD 10.62, Leave Administration; and (iii) the Collective Bargaining Agreement Between the U.S. Nuclear Regulatory Commission and the National Treasury Employees Union.

D. Establishing and Updating Work Activities The NRC has predefined work activity codes for employees to record their daily time.

These codes can be found on the HRMS SharePoint site.

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

11

1. New Activity Code (a) Employees are required to identify new work that is not predefined on the HRMS SharePoint site. To establish a new activity code for T&L reporting, the primary contact or lead employee (i.e., the technical reviewer, the project or task manager, or the lead inspector) for a work activity is responsible for submitting information to his or her supervisor. The supervisor will complete a CAC and/or EPID request in the appropriate system (CACS, Replacement Reactor Program System (RRPS), Electronic Enterprise Data Management System (EDMS), etc.).

All requests are finalized and verified in the CAC System, which is transmitted to HRMS. The CAC System is the centralized authoritative source for CACs. The CAC System is located on the NRC intranet Web site (https://drupal.nrc.gov), by selecting CACs under NRC Applications. For more detail information regarding CAC and EPID requests, employees should consult the Labor Reporting Policy and Guidance located on the HRMS SharePoint site.

(b) New activity codes should be requested and established in advance to allow sufficient time for employees to report their hours associated with the new work.

Detailed procedures for establishing a new work activity code are provided in Section VII.B of this handbook.

2. Time Entry Preference (a) An employees T&L preference will include all activity codes assigned to the employee. Employees are responsible for informing their supervisors of any new CACs that need to be added or removed from their T&L preferences. When time is entered online, the HRMS T&L system provides a listing of assigned activity codes for ease of time entry.

(b) If employees have questions about reporting time to a specific activity code, they should consult their supervisors. If additional assistance is required, employees can refer to the HRMS SharePoint site or contact HRMS.Resource@nrc.gov.

E. Entering Daily Time

1. Employees are required to record hours accurately and in a timely manner. It is recommended that employees enter time daily. Time must be recorded in 15-minute increments (See Exhibit 1, HRMS Time Increments.)

(a) Employees must enter time by classifying hours according to a Time Reporting Code (TRC) and assigning the hours to activity codes established in the HRMS T&L system. TRCs are used to specify the type of hours being charged, such as regular, overtime, holiday, annual leave, sick leave, or compensatory time. When recording time by TRC, the employee must adhere to minimum or maximum hourly requirements. Refer to MD 10.42 for work schedule and premium pay

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

12 policies, MD 10.62 for leave policies, and the Collective Bargaining Agreement Between U.S. Nuclear Regulatory Commission and the National Treasury Employees Union for additional information regarding leave and telework.

(b) If employees are teleworking, they must select the appropriate telework box on their timesheet when entering time.

(c) CACs are used to specify the type of work performed, such as licensing and inspection activities, management supervision, secretarial or clerical, corporate and office support, or other products or services related to the mission of the organization. The HRMS T&L systems data entry screen provides access to a list of TRCs and CACs assigned to an individual employee. Detailed descriptions of TRCs and administrative activity codes may be found on the HRMS SharePoint site.

2. To ensure timely transmission and prompt processing of NRC payroll files to the Department of the Interior, all time must be entered and approved online in the HRMS T&L system by 3 p.m. eastern time, on the Monday following the end of a biweekly pay period. This process must be performed and completed unless otherwise directed by the OCFO payroll organization to accommodate early submission of approved time because of a holiday. To meet this deadline, timekeepers will coordinate a time entry schedule with employees that will provide sufficient time for system processes to be run and for time to be approved. When timekeepers establish a time entry deadline for the pay period, employees will not access or change time after the deadline without first contacting their approving officials.

3. For employees on unscheduled extended leave, including extended leave without pay (LWOP), timekeepers will enter time for employees in accordance with the appropriate action as needed.

4. The HRMS T&L system allows employees to report time in the current pay period and in future pay periods. Employees who will be in training or on leave can enter time in advance of those days they will be absent from the office. CITRIX or VPN access provides access to the HRMS T&L system for employees who need access to report time from other locations.

5. The HRMS T&L Job Aids tutorial provides employees with detailed procedures for employee time entry (available on the HRMS SharePoint site).Section III.B, Navigation, of this handbook provides directions for accessing the tutorial.

F. Correcting Current Period Errors

1. The HRMS T&L system executes batch processes designed to analyze and validate employees T&L entries. The processes run automatically every half hour at quarter

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

13 past the hour (i.e., 10:15 a.m.) and at a quarter till the hour (i.e., 10:45 a.m.).

Examples of time validation include checking for the proper recording of total hours by day, week, and biweekly pay period; checking the correct recording of holiday and premium time; checking for invalid activity codes; and checking data against leave and other compensation rules. If exceptions are noted, the HRMS T&L system will provide an exception indicator online that corrections are needed. Employees will correct any exception indicated as they enter and save their time and review for exception indicators and immediately make corrections online to minimize corrections at the end of a pay period.

2. Timekeepers may notify employees with exceptions for the current pay period.

Employees are responsible for making corrections to reported time in accordance with the time entry deadline established by their timekeeper.

G. Reviewing and Approving Time Reported

1. Employees must submit the timesheet online and ensure the accuracy of recorded time in the HRMS T&L system. If an employee makes additional changes, the employee must notify the approving official and resubmit changes for reapproval.

The timekeeper must keep all supporting documentation, including jury duty/subpoenas for court leave, and orders for military leave. Refer to the appropriate guidance regarding required approvals and additional documentation (e.g., MD 10.42, MD 10.62, and the Collective Bargaining Agreement Between U.S.

Nuclear Regulatory Commission and the National Treasury Employees Union).

2. If the timekeeper enters time for an absent employee, the employee will attest to the hours reported for the period by reviewing the timesheet online upon returning to the office.

H. Reporting Tools Directions for accessing and printing reports are in the HRMS Reports Training Job Aid located on NRCs HRMS SharePoint site. Employee earnings and leave statements, starting with pay period 24/03 (i.e., Pay Period 24 of 2003), are available on the Employee Express Web site (https://www.employeeexpress.gov/).

I. Identifying and Correcting Prior Period Time (PPA)

1. Employees are responsible for the timely identification of PPAs.

2. Employees must initiate a PPA. For adjustments less than 6 weeks old, the employee will change the timesheet to indicate requested adjustments and then save it and confirm its submission. Employees are responsible for informing the timekeeper and approving official of the corrected timesheet. The adjustment(s) will be reviewed by the employees supervisor for approval. For adjustments more than 6

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

14 weeks old, employees should follow the guidelines as outlined in Exhibit 2, Prior Period Adjustment Guidelines of this handbook.

3. The PPAs must be approved in accordance with the agencys policies as described in this MD. These policies were established to ensure that adjustments are reported in a timely manner and to reduce the number of adjustments required to previously reported and approved time.

4. For adjustments less than 6 weeks old, the employee will make corrections, as needed, to their online timesheet. The adjustment(s) will be reviewed by their supervisor for approval. For adjustments more than 6 weeks old, employees should follow the guidelines as outlined in Prior Period Adjustment Guidelines (see Exhibit 2 to this handbook).

J. Other References The NRC HRMS SharePoint site contains information on T&L policy and procedures, TRCs, and CACs as well as job aids for employees, timekeepers, and approving officials.

V. TIMEKEEPER RESPONSIBILITIES A. Overview Timekeepers serve as the liaison between employees and the HRMS T&L Team. Using the HRMS T&L system, employees record their time directly. To ensure that employees time is recorded complete and accurate in HRMS, the timekeepers are responsible for

1. Ensuring that adjustments and corrections for prior pay periods are complete.

2. Identifying new employees assigned to a T&L group and removing transferred, departed, or retired employees from a Timekeeper T&L group.

3. Completing all groups (formally known as units) change requests and permission (security access) requests online.

4. Comply with the appropriate schedule.

(a) For records unique to the NRC, the NRC follows NUREG-0910, NRC Comprehensive Records Schedule.

(b) For records common to most agencies, the NRC follows the National Archives and Records Administration (NARAs) General Records Schedules.

5. File and retain documentation not stored in HRMS for 3 years to ensure that T&L data are protected from disclosure, alteration, or loss, and preserving military orders, leave, jury duty, excused absence, or other authorized paid absence documentation.

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

15 B. Maintaining Documentation for Time and Labor (T&L) Groups

1. Adding or Removing Employees from a T&L Group (a) When transfer employees are assigned to a T&L group, the timekeeper in the receiving office must complete the Group Change Request in HRMS and submit the request to the approving official. Employees who were previously designated as timekeepers or approving officials will have their former access removed each time that they change T&L groups. It is not assumed when employees are transferred from one T&L group to another that their access as timekeepers or approving officials will remain; therefore, the Group Permissions Request must be completed when there is a Group Change Request to designate appropriate access to a new group.

(b) For an employee on a detail or a rotational assignment longer than 2 weeks, the timekeeper in the receiving office should transfer the employee to the appropriate T&L group in that office by completing the Group Change Request in HRMS.

When a detail or rotational assignment ends, and the employee returns to his or her home office, the timekeeper in the home office should complete the T&L group change online, transferring the employee back to the appropriate group in the home office. The receiving/gaining office shall instruct the employee on how to properly record time while on rotation. When time reported is for the primary purpose of providing staff development or on-the-job training for the employee, time should be recorded to the agencys rotation activity code (TM3102 NB-Development Rotation). The exception would be for employees performing fee billable work tasks. Time charges for fee billable tasks should always be recorded to the applicable CAC-Docket-EPID labor string associated with the licensee for which the employee is completing the work.

2. Running the Employee Listing Report Timekeepers can run the Employee Listing Report to confirm employee T&L group assignments and to verify whether they have a work schedule request in the system.

Instructions for generating this report can be found on the HRMS SharePoint site.

C. Submission of Employee Schedules Work Schedule Request (available in HRMS) is used to identify employee work schedules. To ensure that proper edits are applied for time entry, the assignment of the work schedule must be accurately reflected in the HRMS T&L system. Timekeepers will assist employees, who must obtain work schedule approval from their supervisor and submit each time there is a work schedule change or when they transfer to a new group for any reason, even if they transfer to a group within the same office. Employees will

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

16 update their workgroup assignment. Timekeepers will confirm workgroup assignments by generating the Employee Listing Report.

D. Assisting New Employees with Time Entry New employees must initiate a Work Schedule Request in HRMS, in order to input time. Timekeepers will ensure that new employees are trained using the job aids available on the HRMS SharePoint site.

E. Monitoring Timeliness and Accuracy of Posted Hours Timekeepers are responsible for ensuring that employees time has been accurately recorded and approved by 3 p.m. eastern time, on the Monday following the end of a biweekly pay period, unless otherwise directed by the OCFO payroll organization to accommodate a change in schedule, for example, a holiday.

1. Pay Period Processing To ensure that employees time is accurately recorded and approved in accordance with NRC policy, timekeepers will develop internal procedures to address communication between the Chief, Payroll and Payments Branch (PPB), DOC, OCFO; approving officials; and employees. Guidelines on the steps necessary to ensure that pay period processing and closeout are coordinated are outlined below.

2. Establishing a Time Entry Deadline (a) Timekeepers will discuss an acceptable time entry deadline with their approving officials. Depending on the nature of the work that the staff performs and work schedules, this deadline could be as late as the Monday morning after the close of a pay period. When possible, however, all employees will enter their time no later than the close of business on the last Friday of the pay period. In some organizations where employees travel or work on weekends, the time entry deadline will be set no later than 10 a.m. eastern time, on the Monday following the end of the pay period.

(b) Employees will not access or change time for the current or prior pay period after the established time entry deadline without first contacting their approving official.

Employee who modify their time in the HRMS T&L system and resaves after the approval process will be required to notify their approving officials to approve their timesheets again. Approving officials cannot approve employees time until it has been subjected to the system processes. Communicating and compliance with time entry deadlines will alleviate many issues that may result if time is changed after it is prepared for validation and approval.

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

17 (c) Timekeepers, in consultation with their approving officials, will also establish a time when employees may begin entering time for the new period; for example, Monday at 3 p.m. eastern time, after the prior pay period is closed. This course of action will establish a period when time is likely to have been approved for the prior periods and there are no batch processes to be executed.

F. Entering Employee Time

1. Employees (not their timekeepers) will enter their own time, because they are most knowledgeable about the time reported on the activities to which they are assigned.

The HRMS T&L system allows for future reporting; therefore, employees on training or leave can enter time for days that they will be absent from the office. CITRIX or VPN access also provides access to the HRMS T&L system for employees who need to report time from other locations.

2. In extenuating circumstances, such as when employees are on unscheduled or extended leave, timekeepers are responsible for entering time for employees, as needed. If the timekeepers enter employees time on their behalf, the employees will confirm their hours reported for the period by reviewing the timesheet online upon their return to the office.

3. Timekeepers must enter time for employees on extended LWOP, in accordance with the appropriate personnel action or leave request as needed.

G. Processing Time in Human Resources Management System

1. The HRMS will run a time administration process at regular intervals throughout the day. In addition, timekeepers will still serve as the liaison between the employees and the Chief, PPB, DOC, OCFO. Timekeepers will assist employees with time entry and in resolving errors, ensure accurate and timely recording of time by employees, establish time entry deadlines, enter employee time only in extenuating circumstances, and enter employee time for LWOP as needed.

2. Reviewing Exception Messages and Resolving Exceptions Timekeepers are responsible for establishing procedures to ensure that employee time is entered accurately before submitting information to the approving official for approval.

(a) The 2-week pay period begins on the Sunday of the first week and ends on the Saturday of the second week.

(b) Closeout of the pay period, for timekeeper purposes, occurs on the Monday following the end of the 2-week pay period.

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

18 (c) By 3 p.m. eastern time, on that Monday, all time must be entered and approved by an approving official.

H. Coordinating Approval

1. Timesheet The timesheet lists the time the employee reported for the pay period by date, TRC, and CAC. The HRMS T&L system verifies the employees recorded time on their timesheet is accurate. If an employee makes additional changes, it is the responsibility of that employee to notify the timekeeper and approving official of the changes to allow approval of their time.

2. Employees are responsible for obtaining approval by their approving officials to approve the timesheet electronically.

I. Prior Pay Period Adjustments (PPA)

1. PPAs capture any changes made in a previous pay period.

2. Timekeepers will coordinate adjustments to previously approved time as soon as possible and in accordance with the agency policy described in this MD. This policy was established to ensure that adjustments are reported in a timely manner and to reduce the number of adjustments required to previously approved time. For adjustments less than 6 weeks old, the employee will make corrections, as needed, to their online timesheet. The adjustment(s) will be reviewed by their supervisor for approval. For adjustments more than 6 weeks old, employees should follow the guidelines as outlined in Exhibit 2, Prior Period Adjustment Guidelines of this handbook.

3. Adjustments should be submitted and approved by 3 p.m. eastern time, on the Thursday before the end of the pay period.

VI. APPROVING OFFICIAL RESPONSIBILITIES A. Overview Approving officials play a critical role in ensuring that T&L data are correct by reviewing and approving various documents and performing an online approval process within the HRMS T&L system. Approving officials are responsible for approving core task reporting elements, which include changes to employee T&L groups, approving/assigning employee work schedules, and approving group permission. Additionally, approving officials approve/disapprove requests for leave and/or additional hours, which include irregular or occasional overtime and credit hours, approve T&L reported by employees, and approve PPAs.

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

19 B. Approving Changes to Time and Labor (T&L) Groups

1. Approving officials are responsible for electronically approving group change requests each time an employee is added to a T&L group. Employee group change requests are prepared by timekeepers. Approving officials and the OCFO payroll organization approve the employee group change requests in the HRMS T&L system.

2. Employees who were previously designated as timekeepers or approving officials will have their previous access removed each time they change T&L groups. To re-designate access as a timekeeper or an approving official, timekeepers prepare online group permissions requests that are required to be approved by approving officials and the OCFO payroll organization group.

C. Approving Employee Work Schedules and Assigning Work

1. Approving officials are responsible for approving an online Work Schedule Request when an employee is added to a T&L group, each time there is a change in an employees work schedule, or when an employee transfers to a new group for any reason, even if the employee transfers to a group within the same office. The work schedule request is not required when an employee temporarily changes his or her CWS day off or 8-hour workday for a single pay period.

2. Approving officials are also responsible for assigning work to employees on an ongoing basis and will assist employees in locating the correct cost activity codes and the proper CAC/Docket/EPID combination for fee billable work. EPIDs may also be assigned to non-fee billable CACs, if necessary. See the HRMS SharePoint site for the current listing of activity codes. Any additional actions requiring approval will be submitted to the approving official worklist for further review.

D. Approving Time and Labor T&L for all NRC employees must be entered and approved by 3 p.m. eastern time, on the Monday following the end of a biweekly pay period, unless otherwise directed by the Chief, PPB, DOC, OCFO, to accommodate a change in schedule, for example, the holidays. While employees are required to enter time and activity codes accurately, timekeepers ensure that the time recorded meets T&L reporting rules. In turn, approving officials are responsible for reviewing activities codes and time entries and attesting to their accuracy by approving pending submissions in the HRMS T&L system.

E. Approving the Timesheets

1. Timesheets with appropriate documentation, such as electronic forms authorizing premium hours, leave time, and credit hour plans/work, are available to approving officials for approval. Approving officials are responsible for ensuring that

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

20 (a) Appropriate documentation is available, (b) Hours and activities are correct, and (c) Employees enter time accurately and save time in their timesheet.

2. Once approved by the approving official, the submitted timesheet and electronic supporting documents will be maintained in the HRMS T&L system in accordance with NRC record and retention policy and procedures.

F. Online Approval

1. Approving officials are responsible for reviewing the CACs entered into the HRMS T&L system and verifying their accuracy through an online approval process.

Employees whose time has been omitted or contains exceptions cannot be approved. The approving official must contact the timekeeper for resolution of these exceptions. The approving official also has the option to lock an employees timesheet either at approval or after approval.

2. The T&L Job Aids are available through the HRMS SharePoint site and provide approving officials with detailed procedures for approving time.

G. Approving Prior Period Adjustments (PPAs)

1. Approving officials are required to approve all PPAs. An employee will make the changes on their timesheet and notify the timekeeper and approving official of this adjustment. The approving official will approve online any adjustments for employees. This approval should take place by 3 p.m. eastern time, the Thursday before the end of a pay period.

2. A T&L report on adjustments more than 6 weeks from the date the original time was reported can be obtained from the HRMS T&L system. The OCFO will review and monitor the timeliness of PPAs.

VII. COST ACTIVITY CODE (CAC) PROCESS The ATLPC is the agency lead for T&L issues and is responsible for creating, issuing, monitoring, and maintaining CACs used by employees for time entry. Supervisors who request a new activity code should submit a request to the ATLPC, using the CAC System, at least 1 pay period before the CAC is needed for time reporting. The process starts when a new requirement is identified that impacts time, labor, and CAC management.

Requirements may come from many sources. When identified, the ATLPC must take action to assess the impact on the existing policies, procedures, data, and systems.

1. The purpose of establishing a CAC number is to ensure that the work performed by employees is properly identified for numerous reporting purposes. CACs are

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

21 established using a coding schema recognized by the agency's information systems and are used to (a) Capture T&L information.

(b) Perform cost analysis.

(c) Recover fees from applicants, licensees, and other government entities.

(d) Track IT activities involving (i) Systems development, modernization, or enhancement; (ii) Systems operations and maintenance support; and (iii) Systems security.

(e) Respond to Congressional inquiries on labor hour usage for specific activities or projects.

2. Detailed guidance for NRC employees regarding CACs and EPID codes, CACS Updating EPIDs Guidance Handout can be found in the Labor Reporting Policy and Guidance version 6.1 available on the HRMS SharePoint site.

3. Employees can also find a detailed FY19 Cost Activity Code (CAC) List and Definition on the HRMS SharePoint site.

VIII. GLOSSARY Cost Activity Code (CAC)

A unique, alphanumeric, 6-digit code that is aligned to the agencys budget structure, based on a three-tiered system, used primarily to identify labor reporting and tracking fee, and non-fee recovery activities, for mission direct, mission indirect, and administrative support activities.

Cost Activity Code System (CACS)

The centralized authoritative source for CACs.

Enterprise Project Identification (EPID) Code A standard alphanumeric code representing a project. An EPID is a smart number or an umbrella code for a project or inspection with a standard set of CACs as the work activities that report hours underneath. The Project Sub-type embedded in the code identifies a type of major licensing review, category of inspection report, research project, IT investment, or other agency specific work effort identified by management as necessary for labor and cost accumulation.

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

22 Human Resources Management System (HRMS) Time and Labor (T&L) System A subsystem of the HRMS used to capture time and labor, as well as labor reporting data. The software covers NRCs records of employee hours in duty and absence each pay period. NRC uses the data for employee compensation (payroll), billing NRC licensees, budget formulation and execution, cost and financial management, resource and project management, and for other management reporting purposes.

Prior Period Adjustments (PPAs)

Prior period time is adjusted to correct the total hours or the hours an employee charged to a time reporting code or CACs. These adjustments correct time that was erroneously reported for an activity by either modifying an employees pay or leave balances or adjusting hours for activities. The adjustments may impact fee billing, cost, and management reporting.

Staff Assignment A distinct assignment approved by a manager or first-line supervisor to a staff or another manager of a CAC-Docket Number-EPID string for fee billable work and a CAC or CAC/EPID for non-billable work. EPIDs are required for fee billable work but are optional for tracking labor hours and costs by a project for reporting or management information purposes for non-fee billable activities.

Time and Labor (T&L) User Preferences A predefined list of activity codes assigned to an employee or a group of employees.

When assigned, the list appears on the employees timesheet for recording time spent on the activity(ies). Employees can modify their user preferences in the HRMS T&L system.

Time Reporting Codes (TRCs)

Codes specifying the types of hours an employee charges within the HRMS T&L system to identify compensation categories or leave categories. Examples include regular, overtime, holiday, annual leave, sick leave, credit hours, or compensatory time.

Timesheet An HRMS T&L system report listing an employees time information for each pay period by date and activity. The employees timesheet is reviewed by the approving official to attest to its accuracy and then electronically approved.

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

23 View Unapproved Time Report A report by T&L group displaying time that has not been approved. To view the list of unapproved timesheets, timekeepers can select T&L view, Unprocessed Time, and Unprocessed Payable Time.

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

24 EXHIBITS EXHIBIT 1 HRMS Time Increments Minutes Hour 15 0.25 30 0.50 45 0.75 60 1.00

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

25 EXHIBIT 2 Human Resources Management System (HRMS) Time and Labor (T&L)

Reporting for Prior Period Adjustments (PPAs)

Prior Period Adjustments (PPA). Employees are responsible for the timely identification of PPAs. Ideally, corrections to time should be made during the current pay period. If adjustments are not identified during the current pay period and a PPA is necessary, employees should identify and inform their timekeeper and approving official of any PPAs as soon as possible.

Agency PPA Policy For PPAs less than 6 weeks from the date the original time was reported, offices must coordinate the processing of the adjustments with the appropriate HRMS Timekeeper and certified by the Approving Official.

For PPAs 6 weeks or greater from the date the original time was reported, offices are required to submit a written memorandum from the Office Director or Regional Administrator to the Comptroller, Division of the Comptroller, Office of the Chief Financial Officer that identifies the requested change and provides acceptable supporting documentation (see Exhibit 3 in the directive handbook). PPA memos should be sent to the Comptroller through the OCFO RIDS email with a copy to the Payroll Team at HRMS.Resource@nrc.gov and the Labor Administration and Fee Billing Branch (LAFBB) at FEES_Part170Billing@nrc.gov.

Offices should send the PPA memo via e-mail with a link to the ADAMS Accession Number for the PPA memo, the Excel template enclosure, and any supporting documentation. As part of the ADAMS profile, PPA should be annotated in the keyword file to easily identify any PPA documents. The ADAMS link security settings should be developed that OCFO has owner rights to allow access to the memo and all attachments. Each individual memo must have its own ADAMS Accession Number.

The PPA memo request must include:

1. An explanation of why the time was changed inaccurately by the employee as well as why it was not identified as inaccurate by the employees supervisor, the HRMS Approving Official, during the approval process.

2. An explanation of why the change was not reported in a timely manner and the reason that the change is required.

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

26

3. An identification of the corrective actions taken to address the inaccurate reporting of the time and untimely notification of changes and actions taken to avoid recurrence of the error(s) reported. This information should include actions taken by both the employee and the employees supervisor as the HRMS Approving Official.

4. A statement that the employee(s) and approving official(s) have been reminded of their responsibility to report and approve time in an accurate and timely manner.

5. An identification of the effect the change will have on fee billing, high-level waste reporting, reimbursable cost reporting, IT software development activities, and/or any other activity that significantly impacts the agency mission and/or budget.

Office Directors or Regional Administrators may delegate this authority to the Deputy Office Director or Deputy Regional Administrator; however, this authority may not be re-delegated below this level.

Processing the request: Offices must adhere to the guidelines below for the OCFO to process the PPA.

1. For changes involving the labor cost structure, offices must ensure that the new labor cost string (CAC/Docket/EPID) has been assigned to the appropriate employee(s) and these assignments are processed in the Cost Activity Code System (CACS).

2. The OCFO will not create the new Staff Assignments for the offices. Offices should follow their internal procedures regarding creating staff assignments (e.g. procedures that require coordination with the fee coordinator).

3. The OCFO will assist and/or assign assignment(s) on behalf of the Office for assignments(s) that require a back date past the 6 weeks restriction due to system controls.

4. The Office cannot assign assignment(s) before the EPID or CAC start date (Office must reach out to ATLPC for assistance).

5. The OCFO will process the PPAs within 10 business days and will notify offices when the PPA has been processed in HRMS.

6. For any PPA request that is incomplete, the OCFO will contact the office to obtain additional information. If offices do not provide all the required information needed within 10 business days, the PPA will be rejected (not processed) and the office will be notified by email or letter stating the reason the PPA was not completed.

7. The request for a PPA should include the specific date and pay period to be corrected and clearly define the corrections needed while being sure to include the

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

27 activities associated with the hours reported. On the Excel template, the sum of the From hours must equal the sum of the To hours. The OCFO will not process any adjusting entries where the sum of the From hours does not equal the sum of the To hours. Offices must use the Excel template to provide the details of their correcting entries.

Supporting documentation: For the supporting documentation to be accepted, it must be tangible and clearly validate the basis for change. Acceptable forms of documentation include, but are not limited to:

1. Evidence that the employee did not enter his or her own time, and the time reported was in error;

2. Correspondence or work products that clearly show labor reporting codes contrary to how time was reported; and

3. Previously approved request for overtime or compensatory time, credit hour plans, leave, or other documentation to substantiate the change.

The employees and approving officials previous certification of time (reported in HRMS) is presumed to be complete and accurate. Therefore, a request for correction that does not include a justification and acceptable documentation will be denied.

PPAs submitted more than six weeks after the end of the quarter require the approvals and memorandum as mentioned above and will only be approved in rare, exceptional circumstances.

DH 10.43 TIME AND LABOR REPORTING Date Approved: 1/23/2020 For the latest version of any NRC directive or handbook, see the online MD Catalog.

28 EXHIBIT 3 Sample Request Memo for Review/Approval of Prior Period Adjustment(s) of More Than 6 Weeks MEMORANDUM TO:

Comptroller, Division of the Comptroller Office of the Chief Financial Officer FROM:

[Office Director/Regional Administrator]

SUBJECT:

REQUEST FOR REVIEW/APPROVAL OF PRIOR PERIOD ADJUSTMENT(S) OF MORE THAN 6 WEEKS

[Describe changes requested and provide a justification for the request. The justification must be accompanied by acceptable documentation. The request should describe corrective actions taken to ensure non-recurrence of the problem in the future. Requests received without a justification statement and supporting documentation will be denied.]

I have discussed the importance of timely notification of changes with the employee(s) whose time is provided in the attached corrected time sheet. Also, I have reiterated the importance of accurate reporting and approval of time with both the employee and his or her approving official.

I believe the requested change impacts time spent on a/an:

Fee-billable activity (e.g., licensing action/inspection)

High-level waste/general fund activity Full cost recovery reimbursable agreement IT (information technology) software project Or any other activity that significantly impacts the Agency mission and/or budget

Enclosures:

1. Prior Period Adjustment Excel Template

2. Supporting Documents