ML18073A273

Management Directive 10.43, Time and Labor Reporting.

ML18073A273
Person / Time
Issue date:	09/29/2009
From:	NRC/OCFO
To:
References
DT-17-197 MD 10.43
Download: ML18073A273 (47)

Text

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

MD 10.43 TIME AND LABOR REPORTING DT-17-197 Volume 10, Personnel Management Part 2: Position Evaluation and Management, Pay Administration, and Leave Approved by: Gregory B. Jaczko, Chairman Date Approved: September 29, 2009 Cert. Date: N/A, for the latest version of any NRC directive or handbook, see the online MD Catalog.

Issuing Office: Division of the Controller Office of the Chief Financial Officer Contact Name: Lynette Crawford 301-415-0255 EXECUTIVE

SUMMARY

Management Directive and Directive Handbook 10.43, Time and Labor Reporting, are being revised to incorporate the revised prior period adjustment policy, additional guidance on managing activity codes, and time reporting of special Government employees. Other changes are included to enhance clarity of the roles and responsibilities of employees, timekeepers, time and labor coordinators, and approving officials for time and labor reporting.

TABLE OF CONTENTS I. POLICY................................................................................................................................ 2 A. Time and Attendance Reporting..................................................................................... 2 B. Labor Reporting ............................................................................................................. 2 II. OBJECTIVES ...................................................................................................................... 3 III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY........... 4 A. Chief Financial Officer (CFO) ......................................................................................... 4 B. Office Directors and Regional Administrators ................................................................ 4 C. Deputy Director for Financial Services, Division of the Controller (DOC),

Office of the Chief Financial Officer (OCFO).................................................................. 4 IV. APPLICABILITY .................................................................................................................. 5 V. DIRECTIVE HANDBOOK.................................................................................................... 5 VI. REFERENCES..................................................................................................................... 5 For updates or revisions to policies contained in this MD that were published 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 Date Approved: 09/29/2009 I. POLICY It is the policy of the U.S. Nuclear Regulatory Commission 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 Attendance Reporting

1. For NRC policies regarding hours of work, premium pay, or leave, refer to NRC Management Directives (MDs) 10.42, Hours of Work and Premium Pay; 10.46, Credit Hours; and 10.62, Leave Administration.

2. Time is reported in 15-minute increments, meeting any minimum or maximum reporting requirements noted in the above-mentioned MDs.

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

5. NRC MD 4.1, Accounting Policy and Practices, specifies 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 prescribes fines, imprisonment, or both for willfully and 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. Labor Reporting

1. Governmentwide cost accounting standards require NRC to (1) accumulate and report costs in a manner useful to managers; (2) segment programs to match costs with outputs (e.g., planned activities); (3) report costs in general purpose financial reports; and (4) assign costs to outputs. The Chief Financial Officers Act of 1990, the Government Performance and Results Act of 1993, and the Federal Financial Management Improvement Act of 1996 mandate cost management requirements. As a result, NRC is required to identify labor hours expended to derive the costs associated with carrying out NRCs 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 the latest version of any NRC directive or handbook, see the online MD Catalog. 2

MD 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009

2. For purposes of this MD, labor reporting policy is provided in two areas: (1) labor reporting for mission-related activities and (2) labor reporting for non-mission-related activities. Also, see Exhibit 8 of Directive Handbook (DH) 10.43, Work Activity Code Guidance.

(a) Labor Reporting for Mission-Related Activities: Mission-related time will be recorded in the T&L system by NRC staff who support the programmatic objectives of the agency. It is NRCs policy that labor hours be recorded in the T&L system, at a minimum, to an activity assigned to a planned activity (i.e., the programmatic objectives of the agency). 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, Administrative Control of Funds, Part VIII.

(b) Labor Reporting for Non-Mission-Related Activities: Non-mission-related time does not directly contribute to the programmatic objectives of the agency. This time is generally administrative in nature, incidental to carrying out NRCs mission, but is integral to conducting business at NRC. Time spent not directly attributable to meeting the programmatic objectives of the agency will be recorded using the list of approved administrative activity codes provided on the NRC HRMS internal Web site.

3. Time spent by managers (section chiefs and above) and secretaries and clerical staff in the agency will record time to the appropriate activity code in the T&L system for Management/Supervision or Secretarial/Clerical in the list of approved administrative activity codes. Time spent by managers and secretaries will not be recorded to a mission-related activity, even if the manager or secretary can identify the specific planned activity.

4. Time spent in travel (commuting to and from the destination) that is considered hours of work will be reported to the activity requiring the travel.

II. OBJECTIVES To provide an HRMS T&L system of collecting time and labor 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.

To 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.

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

To provide a system of collecting and reporting employee time and labor data for assessing NRC fees and other reimbursements.

To provide a system of collecting and reporting employee time and labor data for labor cost distribution performed in NRCs cost accounting system.

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

MD 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 To provide managerial and financial cost reporting and reconciliations.

To provide record retention.

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 time and labor.

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 time and labor and certifying the correctness of such information.

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

3. Ensure that time and labor for employees under their jurisdiction are recorded in accordance with the requirements of this directive.

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

5. 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.

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

7. Furnish the Time, Labor, and Payroll Services Team with (a) The names of individuals designated to approve the accuracy of T&L data.

(b) The names and locations of timekeepers and T&L coordinators and their alternates designated to maintain the T&L records.

C. Deputy Director for Financial Services, Division of the Controller (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, approving officials, and T&L coordinators.

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

MD 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009

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), which 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 utilizing 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. Designates an Agency T&L Policy Coordinator.

IV. APPLICABILITY The policy and guidance in this directive and handbook apply to all NRC employees except Presidential appointees.

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 Directive Handbook 10.43 provides detailed requirements and instructions for T&L reporting in the HRMS T&L system. It also includes the detailed guidance on the responsibilities of employees, timekeepers, approving officials, and T&L coordinators and references for assistance.

VI. REFERENCES Federal Accounting Standards Advisory Board FASAB Statement of Federal Financial Accounting Standard (SFFAS) No. 4, Managerial Cost Accounting Concept and Standards, July 31, 1995.

Government Accountability Office GAOs Policy and Procedures Manual for Guidance of Federal Agencies, Chapter 3 of Title 6.

Nuclear Regulatory Commission Documents Collective Bargaining Agreement Between U.S. Nuclear Regulatory Commission and National Treasury Employees Union, April 1, 2005.

NRC Announcements Announcement No. 24, Credit Hours, dated March 28, 2002.

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

MD 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Announcement No. 82, NRCs Privacy Act Systems of Records and Employee Responsibilities, dated December 16, 2002.

Announcement No. 42, Time and Labor Reporting for Software Development Projects, dated June 21, 2005.

Announcement No. 15, Employees Roles and Responsibilities Human Resources Management System, dated February 28, 2006.

NRC Management Directives 4.1, Accounting Policy and Practices.

4.2, Administrative Control of Funds.

4.3, Financial Management Systems.

4.6, License Fee Management Program.

10.42, Hours of Work and Premium Pay.

10.46, Credit Hours.

10.62, Leave Administration.

14.1, Official Temporary Duty Travel.

United States Code Chief Financial Officers Act of 1990, Pub. Law 101-576 (31 U.S.C. 501-506, 901-903, 3512(a), 3521, and 9105-9106).

Federal Financial Management Improvement Act of 1996, Pub. Law 104-208 (31 U.S.C.

3512 et seq.).

Government Performance and Results Act of 1993, Pub. Law 103-62 (5 U.S.C. 306 and 31 U.S.C. 1115 et seq.).

Joint Financial Management Improvement Program, Human Resources & Payroll System Requirements, 1999, SR-99-5.

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

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

DH 10.43 TIME AND LABOR REPORTING DT-17-197 Volume 10, Personnel Management Part 2: Position Evaluation and Management, Pay Administration, and Leave Approved by: Gregory B. Jaczko, Chairman Date Approved: September 29, 2009 Cert. Date: N/A, for the latest version of any NRC directive or handbook, see the online MD Catalog.

Issuing Office: Division of the Controller Office of the Chief Financial Officer Contact Name: Lynette Crawford 301-415-0255 EXECUTIVE

SUMMARY

Management Directive and Directive Handbook 10.43, Time and Labor Reporting, are being revised to incorporate the revised prior period adjustment policy, additional guidance on managing activity codes, and time reporting of special Government employees. Other changes are included to enhance clarity of the roles and responsibilities of employees, timekeepers, time and labor coordinators, and approving officials for time and labor reporting.

TABLE OF CONTENTS I. OVERVIEW.......................................................................................................................... 3 A. Purpose of the HRMS Time and Labor System ............................................................. 3 B. Responsibilities .............................................................................................................. 4 C. Privacy Act Statement .................................................................................................... 8 II. SYSTEM SECURITY AND NAVIGATION ........................................................................... 9 A. System Security ............................................................................................................. 9 B. Navigation .................................................................................................................... 10 III. EMPLOYEE RESPONSIBILITIES..................................................................................... 10 A. Overview ...................................................................................................................... 10 B. Obtaining Training ........................................................................................................ 11 C. Establishing and Updating Work Schedules ................................................................ 11 D. Establishing and Updating Work Activities ................................................................... 11 E. Entering Daily Time ...................................................................................................... 12 F. Correcting Current Period Errors.................................................................................. 13 For updates or revisions to policies contained in this MD that were published 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 Date Approved: 09/29/2009 G. Reviewing and Approving Time Reported.................................................................... 13 H. Reporting Tools ............................................................................................................ 14 I. Identifying and Correcting Prior Period Time ............................................................... 14 J. Approval of Prior Period Adjustments .......................................................................... 15 K. Other References ......................................................................................................... 15 IV. TIMEKEEPER RESPONSIBILITIES ................................................................................. 15 A. Overview ...................................................................................................................... 15 B. Maintaining Documentation for T&L Units.................................................................... 15 C. Submission of Employee Schedules ............................................................................ 16 D. Assisting New Employees With Time Entry ................................................................. 17 E. Monitoring Timeliness and Accuracy of Posted Hours................................................. 17 F. Entering Employee Time .............................................................................................. 18 G. Validating Reported Time............................................................................................. 18 H. Coordinating Approval.................................................................................................. 19 I. Prior Pay Period Adjustments ...................................................................................... 20 V. APPROVING OFFICIAL RESPONSIBILITIES.................................................................. 21 A. Overview ...................................................................................................................... 21 B. Approving Changes to T&L Units ................................................................................. 21 C. Approving Employee Work Schedules and Assigning Work ........................................ 21 D. Approving Time and Labor ........................................................................................... 22 E. Approving the SAR....................................................................................................... 22 F. Online Approval............................................................................................................ 22 G. Approving Prior Period Adjustments ............................................................................ 22 VI. TIME AND LABOR COORDINATOR RESPONSIBILITIES ............................................. 23 A. Overview ...................................................................................................................... 23 B. Communicating Agency Policy and Procedures .......................................................... 23 C. Communicating Office Internal Policy and Procedures ................................................ 23 D. Creating and Managing Activity Codes ........................................................................ 23 E. Creating and Managing Employee Profiles .................................................................. 24 F. Updating Employee Workgroup Profiles ...................................................................... 25 G. Loading, Editing, and Certifying T&L Data for Fee Billing ............................................ 25 H. Processing Prior Period Adjustments........................................................................... 25 VII. GLOSSARY ....................................................................................................................... 25 For the latest version of any NRC directive or handbook, see the online MD Catalog. 2

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 EXHIBITS Exhibit 1 Summary Approval Report (SAR) ....................................................................... 29 Exhibit 2 HRMS Time Increments ...................................................................................... 30 Exhibit 3 Employee Listing Report ..................................................................................... 31 Exhibit 4 New Employee Orientation.................................................................................. 32 Exhibit 5 Timekeeper Pay Period Closeout Guidelines...................................................... 33 Exhibit 6 Prior Period Adjustment Guidelines..................................................................... 35 Exhibit 7 Sample Request for Review/Approval of Prior Period Adjustment(s) of More Than 6 Weeks ................................................................. 37 Exhibit 8 Work Activity Code Guidance.............................................................................. 38 Exhibit 9 Time Reporting of Special Government Employees............................................ 41 I. OVERVIEW A. Purpose of the HRMS Time and Labor System

1. The Human Resources Management System (HRMS), consisting of Human Resources, Payroll, and Time and Labor (T&L) modules, is the NRCs system of record. The HRMS is the electronic repository for most of the Office of Human Resources (HRs) official employee personnel records and is part of the agencywide integrated financial and resource management system.

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

3. Within the HRMS T&L system, employees enter time and attendance and labor data online. Timekeepers, approving officials, and T&L coordinators also provide support to the HRMS T&L system. The role of timekeepers and T&L coordinators is to assist employees with the time entry and approval process. The HRMS T&L system includes an online tutorial feature to assist employees, timekeepers, and approving officials in entering, verifying, processing, and approving time.

4. This handbook is not intended to provide guidance on NRCs HR policy regarding hours of work, premium pay, or leave. Refer to NRC Management Directive (MD) 10.42, Hours of Work and Premium Pay; MD 10.46, Credit Hours; and MD 10.62, Leave Administration, for these policies.

5. The chart on the following page illustrates the NRC T&L process.

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

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 TIME & LABOR REPORTING APPROVING TIME & LABOR EMPLOYEES TIMEKEEPERS OFFICIALS COORDINATORS Enter Resolve Manage Approve Time Errors Activities Time Verify Maintain Reporting Employee Information Report Prior Period Maintain Adjustments Profiles Make Prior Period Adjustments (Task Only)

NRC T&L Process B. Responsibilities The following is a summary of the responsibilities for employees, timekeepers, T&L coordinators, and approving officials. Detailed discussions are contained in Parts III through VI of this handbook.

1. Employees All NRC employees are responsible for submitting NRC Form 707, Hours of Work Request (available on the online forms icon), to their T&L coordinator after receiving supervisory approval to identify or update their work schedules. Any updates will normally be submitted before the beginning of the pay period in which the change For the latest version of any NRC directive or handbook, see the online MD Catalog. 4

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 will become effective. T&L coordinators use NRC Form 707 as the basis for updating employee enrollment data in the HRMS T&L system that is also used to validate time reported by the employee. Employees are responsible for (a) Obtaining training on the HRMS T&L system.

(b) Adhering to NRCs time and labor policy and guidelines to properly report T&L hours.

(c) Contacting the T&L coordinator for any new assignment that requires a new activity code be added to their time entry profile.

(d) Identifying any new work that requires a new activity be established in accordance with agency, office, or license fee policy.

(e) Recording their hours accurately and in a timely manner against assigned activities and attesting to the accuracy of the time reported by signing the Summary Approval Report (SAR).

(f) Correcting any time entry errors during the current pay period.

(g) Seeking approval for leave requests, overtime requests, and credit hour work/plans, as prescribed in NRC MD 10.42, MD 10.46, and MD 10.62.

(h) Ensuring their leave balances are accurate.

(i) Recording time spent on the development phase of an information technology (IT) software project. See NRC Announcement No. 42, dated June 21, 2005, Time and Labor Reporting for Software Development Projects.

(j) Attesting to the accuracy of the time reported as stated in Chapter 3 of Title 6 of the Government Accountability Offices Policy and Procedures Manual for Guidance of Federal Agencies.

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 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 time reported by signing the SAR.

(c) Correcting any time entry errors during the current period.

(d) Adhering to the NRCs time and labor policy and guidelines to properly report T&L hours.

(e) Adhering to NRCs Time Reporting of Special Government Employees, Exhibit 9.

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

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009

3. Timekeepers Timekeepers serve as the functional interface to provide coordination between the employees and the NRC Time, Labor, and Payroll Services Team. The timekeepers play a critical role in ensuring that the time and attendance is recorded and approved in accordance with NRC policy, any problems are resolved, and the overall time entry and approval process is facilitated. Timekeepers are responsible for (a) Notifying the Time, Labor, and Payroll Services Team and the T&L coordinator of any new, transferred, departed, or retired employees or any employees on detail or rotational assignment in their designated T&L unit(s) by submitting NRC Form 696, Time and Labor Designation, and NRC Form 697, Time and Labor Unit Change, which are available on the online forms icon.

(b) Assisting employees with time entry, resolving time entry errors, and ensuring that employees input their time on a timely basis each pay period. Advising new employees of training information, such as the HRMS online tutorials.

(c) Facilitating the processing of time reported by employees, such as executing batch processes and viewing HRMS reports to detect and correct current pay period errors and coordinating the review, approval, and submission of corrections to current and prior pay period records.

(d) Reviewing, printing, and distributing the SARs (Exhibit 1) to employees and approving officials for signature and approval and maintaining the official hard copies of approved employee time and other documentation.

(e) Maintaining complete and accurate official time entry records and supporting documentation and ensuring that T&L data are protected from disclosure, alteration, or loss.

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

(b) Reviewing, signing, and approving the employees SARs, indicating that the total time and the distribution of hours to activities are correct. Ensuring that employees sign the SAR either before final approval or upon the employees return to the office to verify the accuracy of reported hours.

(c) Performing approval in the HRMS of employees time and the distribution of hours to activities as recorded in the HRMS T&L system and as indicated on the SAR.

(d) Approving, using the appropriate forms as required, any employee requests, for example, leave, overtime, premium hours, work schedules, credit hour plans/work, and so on, and ensuring that appropriate documentation is available to support the SAR.

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

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 (e) Reviewing, signing, and approving all SARs containing prior period adjustments.

(i) Corrections less than 6 weeks from the date the original time was reported will be reflected on the employees SAR. The approving official will verify that justification and supporting acceptable documentation are provided and certify that the change requested is correct for compensation, labor reporting, and fee assessment.

(ii) Corrections more than 6 weeks from the date the original time was reported require (1) the signature of the approving official, verifying that justification and supporting acceptable documentation are provided and certifying that the change requested is correct for compensation, labor reporting, and fee assessment and (2) a written request from the office director or regional administrator to the Office of the Chief Financial Officer (OCFO) that identifies the proposed change and provides acceptable supporting documentation (Exhibit 7). 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. For the supporting documentation to be acceptable, it must be tangible and clearly validate the basis for change. The following are examples of acceptable documentation: (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. 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(s) and approving official(s) have been reminded of their responsibilities to report and approve time in an accurate and timely manner.

• An identification of the effect the change will have on fee billing, high-level waste reporting, reimbursable cost reporting, and/or IT software development activities.

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

(iv) Requests for corrections more than 45 days after the end of the quarter will not be made except in rare, exceptional circumstances. Examples include circumstances that affect employee compensation, specific fee or reimbursable agreement bills, or are material to the financial reporting of the agency.

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

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009

5. Time and Labor Coordinators T&L coordinators are responsible for the overall management of the HRMS T&L system for their office. T&L coordinators are responsible for (a) Ensuring that necessary internal office procedures are in place to facilitate time entry.

(b) Administratively managing and communicating labor reporting policy and procedures for the office.

(c) Updating employees work schedules and preassigned activity lists to accommodate employee time entry and to facilitate proper editing of reported time by the HRMS T&L system.

(d) Updating employee time entry profiles with their assigned list of activities.

(e) Processing task-only prior period adjustments, those less than 6 weeks from the date the original time was reported, within 3 business days of receipt from the timekeeper. Task-only adjustments more than 6 weeks from the date the original time was reported should be entered in the HRMS T&L system within 3 business days of receipt of approval from OCFO (Exhibit 6).

C. Privacy Act Statement

1. Privacy Act Pursuant to 5 U.S.C. 552a(e)(3), enacted into law by Section 3 of the Privacy Act of 1974 (Public Law 93-579), the following statement is furnished to individuals who supply information to 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.

2. Authority 31 U.S.C. 66a Solicitation of the social security number is authorized under Executive Order 9397, dated November 22, 1943, and NRC MD 10.43, Time and Labor Reporting.

3. 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) for use in payroll, fee billing, resource tracking, and managerial and financial cost accounting. The social security number is used for computer processing of this information.

4. 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 For the latest version of any NRC directive or handbook, see the online MD Catalog. 8

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Federal, State, or local agency in the event the information indicates a violation or a potential violation of law or in the course of 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.

5. Whether Disclosure Is Mandatory or Voluntary and the Effect on an Individual of Not Providing Information Disclosure of the information is voluntary, including the social security number.

However, if the information is not furnished, a payroll check cannot be issued.

6. 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 II. SYSTEM SECURITY AND NAVIGATION A. System Security

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

2. In addition to the user identifications and passwords needed to access other NRC computer systems, each employee will be issued a unique T&L user identification and password. The system will automatically require a change to the T&L password every 90 days. Employees may change their password more frequently.

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 or divulged to anyone.

4. Multiple (3) unsuccessful password logon attempts will prohibit system access.

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 an established period of inactivity.

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

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

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 B. Navigation

1. Detailed instructions on the navigation of the HRMS T&L system can be found in the HRMS T&L system online tutorial.

2. NOTE: The data reflected in the HRMS T&L system online tutorial 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, attendance, or labor policy.

3. To access the tutorial, please follow these steps:

(a) Click the START button at the lower left corner of your personal computer (PC).

(b) Scroll up the menu bar to Agency Wide.

(c) From the drop-down list, choose HRMS.

(d) From the HRMS drop-down list, choose HRMS Tutorial. The tutorial will take a moment to load.

4. Once loaded, the tutorial will provide a screen describing the systems objectives; it will then allow users to access directions on how to use the tutorial or perform exercises for time input or approval.

5. NOTE: The HRMS tutorial may also be accessed by opening the Agency Wide folder on your desktop, then opening HRMS, and then selecting HRMS Tutorial.

(By dragging the HRMS tutorial icon to the desktop, users can access the tutorial by double-clicking on the HRMS tutorial icon.)

6. The HRMS tutorial can be accessed by CITRIX users by clicking on the icon provided.

III. EMPLOYEE RESPONSIBILITIES A. Overview The HRMS Time and Labor (T&L) system is used by all NRC employees to record their time to assigned activities on a daily basis. In order to input time into the HRMS T&L system, employees are responsible for establishing and updating their work schedules and coordinating new activities with their T&L coordinators. Employees are also responsible for recording their daily time accurately and in a timely manner against assigned activities. For time, such as leave, overtime, and credit hour plans/work, employees must obtain approvals and submit the appropriate NRC forms with the recorded time. To provide documentation supporting time entered into the HRMS T&L system, employees are required to attest to the accuracy of the reported time by signing the Summary Approval Report (SAR) (see Exhibit 1). Employees are also responsible for the timely identification of prior period adjustments and coordinating these adjustments with their timekeeper.

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

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 B. Obtaining Training New employees or employees who have been designated as timekeepers, approving officials, or T&L coordinators may obtain training on the HRMS T&L system via the Human Resources Management System (HRMS) Tutorial or the Job Aids located on the NRCs HRMS internal Web site. Training for timekeepers is required during the first pay period their security access to the system is granted.

C. Establishing and Updating Work Schedules

1. NRC Form 707, Hours of Work Request (a) Employees are responsible for establishing their initial work schedules at the beginning of a pay period. To do this, employees must submit an original NRC Form 707, Hours of Work Request (available on the online forms icon),

approved by their supervisors, to their T&L coordinator to establish or to change work schedules in the HRMS T&L system. Employees should submit a new form when they transfer to a new unit for any reason, even if they transfer to a unit within the same office. Any change in work schedule requires the submission of a new form, 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 NRC Form 707 when temporarily changing their compressed work schedule (CWS) day off or 8-hour workday for a single pay period. Changing an employees CWS day usually occurs when an employees usual CWS day falls on a holiday.

2. Other Approvals Employees are responsible for obtaining other prior approvals, for example, credit hour plans, overtime, or leave. Additional required approvals and documentation are described in NRC Management Directives 10.42, Hours of Work and Premium Pay; 10.46, Credit Hours; and 10.62, Leave Administration.

D. Establishing and Updating Work Activities

1. New Activity Code Employees are required to identify new work. To establish a new activity code in T&L, the lead employee (i.e., the technical reviewer, the project or task manager, or the lead inspector) or the primary contact for a work activity is responsible for contacting his or her T&L coordinator to request a new activity code setup and for ensuring that the new activity code is associated with the proper mission-related planned activity. New activity codes should be requested and established in advance to allow sufficient time for employees to report their hours associated with the new activity codes in the HRMS T&L system. Any activity code created must be properly managed and closed when the activity is completed. Employees will adhere to their internal office policy when requesting the establishment of new activity codes as this function may vary in each office on the basis of fee billing or management reporting requirements. For more information on creating a new activity code, contact the local For the latest version of any NRC directive or handbook, see the online MD Catalog. 11

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 office T&L coordinator. Detailed guidance on the opening, closing, and managing of activity codes is provided in Exhibit 8, Work Activity Code Guidance.

2. Time Entry Profiles (a) The employees T&L profile will include all activity codes assigned to the employee. Employees are responsible for coordinating the addition of any new activity code with the T&L coordinator in order for the new activity to be added to their T&L profile. When time is entered online, the HRMS T&L system provides a listing of assigned activity codes for ease of time entry.

(b) For new employees, the supervisor is responsible for assigning work activities and coordinating with the designated T&L coordinator the establishment of a time entry profile. If employees have questions about reporting time to a specific activity, they will consult their supervisor or contact the T&L coordinator.

(c) Time entry profiles are updated weekly for Regulatory Information Tracking System (RITS) offices and manually for non-RITS offices to simplify data entry for employees; however, if an activity code does not appear on the time entry screen for the employee, the activity code can be accessed and the time recorded. If employees do not have a list of activities appearing for daily time entry, or if the activities listed are incorrect, contact the T&L coordinator for resolution.

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 (one-fourth of an hour) (see Exhibit 2, HRMS Time Increments).

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 the appropriate management directive (MD): MD 10.42, MD 10.46, or MD 10.62. Activity codes are used to specify the type of work performed, such as general administration, management supervision, secretarial or clerical, financial management, licensing and inspection activities, or other planned accomplishment related to the mission of the organization. The HRMS T&L systems data entry screen provides access to a list of TRCs and activity codes. Detailed descriptions of TRCs and administrative activity codes may be found on the NRC HRMS internal Web 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 in the HRMS T&L system by 3 p.m. on the Monday following the end of a biweekly pay period, unless otherwise directed by the Time, Labor, and Payroll Services Team to accommodate early submission of approved time because of the holidays. 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 For the latest version of any NRC directive or handbook, see the online MD Catalog. 12

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 timekeepers establish a time entry deadline for the pay period, employees will not access or change time after the deadline without first contacting their timekeeper.

3. For employees on unscheduled extended leave, including extended leave without pay (LWOP), timekeepers will enter time for employees in accordance with the appropriate LWOP personnel action or Request for Leave or Approved Absence, OPM 71 (available on the online forms icon).

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 also provides access to the HRMS T&L system for employees who need access for reporting time from other locations.

5. The HRMS T&L online tutorial provides employees with detailed procedures for employee time entry. Part II, Section (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 time and labor entries. These processes run automatically both online when employees save their time and every evening. 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 errors are noted, the HRMS T&L system will provide an error indicator online that corrections are needed on the monthly time panel. Employees will correct any errors indicated as they enter and save their time and review the monthly time panel for error indicators and immediately make corrections online in order to minimize corrections at the end of a pay period.

2. Timekeepers may notify employees with errors in reported time for the current period. Employees are responsible for making corrections to reported time in accordance with the time entry deadline established by their timekeeper. The Error Message Job Aid is located on NRCs HRMS internal Web site.

G. Reviewing and Approving Time Reported

1. When all employee errors have been corrected, the timekeepers will provide each employee with a SAR listing the time the employee reported for the pay period by date, TRC, and activity (see Exhibit 1).

2. Employees must sign the SAR and attest to the accuracy of recorded time in the HRMS T&L system. If an employee makes additional changes, the employee must notify the timekeeper, who will provide a revised SAR for signature. After the employee signs the SAR, it will be returned to the timekeeper. The signed SAR must be accompanied by all supporting documentation, including overtime approval forms (NRC Form 145, Request and Authorization for Irregular or Occasional Overtime or Compensatory Time, available on the online forms icon); credit hour plans/work (NRC Form 710, Credit Hour Plan and Certification, available on the online For the latest version of any NRC directive or handbook, see the online MD Catalog. 13

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 forms icon); leave request forms (OPM 71, Request for Leave or Approved Absence, available on the online forms icon); advance leave request memorandums; jury duty/subpoenas for court leave; orders for military leave; and so on. Refer to the appropriate management directive (e.g., MD 10.42, MD 10.46, and MD 10.62) regarding required approvals and additional documentation.

3. If the timekeeper enters time for an absent employee, the employee will attest to the hours reported for the period by signing the SAR with the attached supporting documentation upon returning to the office. Approving officials will not sign the employee signature line on the SAR on behalf of the employee.

H. Reporting Tools Employees may print their reported time in a report. The HRMS T&L online tutorial provides directions for accessing and printing reports in the Time Entry Job Aid located on NRCs HRMS internal Web site. The Earnings and Leave Statements from pay period 24/01 through 23/03 are available in HRMS. Statements starting with pay period 24/03 may be obtained by accessing the Employee Express Web site at www.EmployeeExpress.gov.

I. Identifying and Correcting Prior Period Time

1. Responsibilities (a) Employees are responsible for the timely identification of prior period adjustments.

(b) There are two types of prior period adjustments: (1) normal adjustments adjust total hours or hours charged to a TRC and (2) task-only adjustments adjust hours between recorded tasks, that is, activities. All adjustments will be coordinated with the employees timekeeper.

2. Correcting Time via the Summary Approval Report Employees must notify their timekeeper to initiate a prior period adjustment.

Timekeepers will provide a copy of the approved SAR, which contains the time currently recorded in the HRMS T&L system. Employees will mark up the SAR to indicate requested adjustments. Employees are responsible for signing the annotated SAR, thus attesting to the accuracy of the requested correction, and for providing justification and acceptable supporting documentation. Employees must submit the corrected SAR, along with the justification and documentation, to the timekeeper for further processing.

3. Confirming Adjustments When adjustments are completed and processed in the HRMS T&L system, the adjusted time will appear on the SAR for the pay period in which it is processed.

Employees must sign the SAR that contains the corrected time for the prior period.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 14

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 J. Approval of Prior Period Adjustments Prior period adjustments 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.

K. Other References The NRC HRMS internal Web site contains information on time and labor policy and procedures, TRCs, and administrative activity codes. Job aids for employees, timekeepers, T&L coordinators, and approving officials may be found on the Web site, along with important NRC Yellow Announcements and HRMS Bulletin Announcements.

This information may be accessed from OCFOs internal home page by clicking on the link for the HRMS Home Page.

IV. TIMEKEEPER RESPONSIBILITIES A. Overview Timekeepers serve as the liaison between the employees and the NRC Time, Labor, and Payroll Services Team. Using the Human Resources Management System (HRMS)

Time and Labor (T&L) system, employees record their time directly. Timekeepers play a critical role in ensuring that employees are paid for the hours they work and that the employees leave balances are accurate. Timekeepers ensure that the employees time is recorded each pay period; report adjustments and corrections for prior pay periods; identify new employees assigned to the T&L unit or remove transferred, departed, or retired employees; execute processes designed to detect errors for time recorded by employees in order to prepare reported time for approval; and file and maintain all hard copy documents that support time reported and approved.

B. Maintaining Documentation for T&L Units

1. T&L Official Designations Timekeepers are responsible for maintaining a copy of the Time and Labor Designation, NRC Form 696 (available on the online forms icon), for each T&L unit and submitting the original with any changes to the Time, Labor, and Payroll Services Team to update the HRMS T&L system. Timekeepers must also notify their T&L coordinator of any changes by giving them a copy of the form. The office director must delegate approving official, timekeeper, and T&L coordinator authority in accordance with this MD. It is recommended that each T&L unit be assigned a primary and two alternate approving officials, timekeepers, and office T&L coordinators. Emergency delegations will be accepted on the last day of processing for a pay period via e-mail to the Time, Labor, and Payroll Services Team; however, a Time and Labor Designation form must follow an emergency request.

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DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009

2. Adding or Removing Employees From a T&L Unit (a) When transfer employees are assigned to the T&L unit, the timekeeper in the receiving office must complete the Time and Labor Unit Change, NRC Form 697 (available on the online forms icon), and submit the form to the Time, Labor, and Payroll Services Team to update the HRMS T&L system. The timekeeper must also maintain a copy of the form and submit a copy to his or her T&L coordinator. Any employees who were previously designated as timekeepers or approving officials will have their previous access removed each time they change T&L units. It is not assumed when employees are transferred from one T&L unit to the other that their access as a timekeeper or an approving official will remain; therefore, the Time and Labor Designation form must accompany the Time and Labor Unit Change form to designate appropriate access to the new unit.

(b) For an employee on a detail or a rotational assignment longer than 2 weeks, the timekeeper in the receiving/gaining office should transfer the employee to the appropriate T&L unit in that office by completing NRC Form 697. When a detail or rotational assignment ends and the employee returns to his/her home office, the timekeeper in the home office should complete an NRC Form 697 transferring the employee back to the appropriate unit in the home office. For both details and rotational assignments, a copy of the SF 52, Request for Personnel Action, must be attached to the NRC Form 697. The receiving/gaining office shall instruct the employee on how to properly record time while on rotation. When work accomplished can be attributed directly to mission-related activities, time should be recorded to the appropriate mission direct code. 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 training activity code.

3. Running the Employee Listing Report Timekeepers will run the Employee Listing Report (Exhibit 3) to confirm employees T&L unit assignments each pay period and submit a copy to their T&L coordinator.

C. Submission of Employee Schedules NRC Form 707, Hours of Work Request (available on the online forms icon), 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 all NRC Form 707s to their T&L coordinator when their work schedule is initially established, each time there is a work schedule change, or when they transfer to a new unit for any reason, even if they transfer to a unit within the same office. The T&L coordinator will update the employees workgroup assignment.

Timekeepers will confirm workgroup assignments by generating the Employee Listing Report (Exhibit 3).

For the latest version of any NRC directive or handbook, see the online MD Catalog. 16

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 D. Assisting New Employees With Time Entry

1. New Hires Timekeepers are responsible for providing employees with the New Employee Orientation package (Exhibit 4) and the Time Entry Job Aid located on NRCs HRMS internal Web site and assisting new employees with questions related to recording time. Timekeepers will ensure that new employees are trained using the online tutorial.

2. Transfers For employees transferring to a different T&L unit, the receiving offices timekeeper is responsible for notifying the Time, Labor, and Payroll Services Team and its T&L coordinator of T&L unit changes.

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. on the Monday following the end of a biweekly pay period, unless otherwise directed by the Time, Labor, and Payroll Services Team to accommodate a change in schedule, for example, the holidays.

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 Time, Labor, and Payroll Services Team, the T&L coordinator, approving officials, and employees. A suggestion on the steps necessary to ensure that pay period processing and closeout are coordinated is provided in the Timekeeper Pay Period Closeout Guidelines (Exhibit 5).

2. Establishing a Time Entry Deadline (a) Timekeepers will discuss an acceptable time entry deadline with the approving official. Depending on the nature of work 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. on the Monday following the end of the pay period.

(b) Timekeepers will advise employees not to access or change time to the current pay period after the established time entry deadline without first contacting their timekeeper. An employee accessing his or her time in the HRMS T&L system and resaving recorded time (with or without making changes) will result in time that is not subjected to system validation and that cannot be approved. If time is modified or resaved after the timekeeper initiates system validation processes, the timekeeper will be required to rerun the system processes in order to detect errors. The approving official cannot approve any employees time until it has been subjected to the system processes. Communicating and compliance with time entry deadlines will alleviate many frustrations that may result if time is subsequently changed after it is prepared for validation and approval.

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

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 (c) Timekeepers, in consultation with the approving official, will also establish a time when employees may begin entering time for the new period, for example, Monday at 3 p.m. after the prior pay period is closed. This course of action will establish a period when time is likely to have been already approved for the prior periods and the timekeeper is not executing batch processes. Entering time while processes are being run may cause the HRMS T&L system to terminate or lock out an employee before input time can be saved by the system.

F. Entering Employee Time

1. Timekeepers will not routinely enter time for employees. Employees 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 they will be absent from the office. CITRIX also provides access to the HRMS T&L system for employees who need access 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 an employee. If the timekeeper enters an employees time, the employee will confirm his or her hours reported for the period by signing the SAR (Exhibit 1) upon his or her return to the office.

3. Timekeepers must enter time for employees on extended leave without pay (LWOP) in accordance with the appropriate personnel action or leave request form (OPM 71; available on the online forms icon). Timekeepers will notify their T&L coordinator of employees on extended LWOP status in order for updates to be made to their workgroup assignment.

4. Time entry instructions for employees on LWOP are provided on NRCs HRMS internal Web site.

G. Validating Reported Time

1. Executing Batch Processes (a) The HRMS T&L system executes batch processes designed to analyze and validate employees time and labor entries. These processes run automatically both online when employees save their time and every evening. 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.

(b) The Edit Time and Apply Rules batch processes must be executed whenever time is saved (whether changed or resaved without changes) in order for the new data to be analyzed. Time cannot be approved by the approving official until the processes are run and all errors are corrected. Once the processes are executed, the timekeeper is then capable of producing reports identifying potential areas where time entry by employees may need to be corrected. The system processes are automatically run every evening for the entire NRC. These For the latest version of any NRC directive or handbook, see the online MD Catalog. 18

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 processes may also be run by the timekeepers for individuals in their T&L unit(s) or the unit(s) as a whole. The processes must be executed (1) when time is reported or changed or (2) if the employee inadvertently saves the time on the daily time panel but did not make a change to the reported time.

(c) The Edit Time process must be completed successfully before the Apply Rules process can be run. These batch jobs must be run in order, consecutively.

(d) Every effort will be made to minimize the number of times these processes are executed. Before executing the batch processes, timekeepers will confirm that the pay period dates are correct. Timekeepers will not rerun processes for the entire unit if the time of only a few employees has changed. Timekeepers will also include all the employees, T&L units, or any combination of employees and T&L units in a single run of each process to minimize the number of instances being executed. If processing time exceeds these acceptable limits, timekeepers will be notified by the T&L system administrator. Running these processes is described in the Timekeeper Job Aid located on NRCs HRMS internal Web site.

2. Reviewing the Error Messages Report and Resolving Errors (a) Timekeepers are responsible for establishing procedures to ensure that employees time is entered accurately before submitting information to the approving official for approval.

(b) The 2-week pay period begins on the Sunday of the first week and ends on the Saturday of the second week. Closeout of the pay period, for timekeeper purposes, occurs on the Monday following the end of the 2-week pay period. By 3 p.m. on that Monday, all time must be entered and approved by the employees approving official. Exhibit 5 identifies the steps a timekeeper may take to complete the process at the close of the pay period. Job aids for error resolution and pay period calendars may be found on NRCs HRMS internal Web site.

H. Coordinating Approval

1. Summary Approval Report The Summary Approval Report (SAR) lists the time the employee reported for the pay period by date, TRC, and activity. Timekeepers will not run the final report for employee approval until they have resolved all errors and confirmed that employee time is ready for approval.

2. Obtaining Signatures (a) Timekeepers are responsible for obtaining employee signatures attesting to the accuracy of recorded time on the SAR. If an employee makes additional changes, the employee must notify the timekeeper, who will provide a revised SAR for signature. After the employee signs the SAR, it will be given to the approving official for signature and an electronic approval within the HRMS T&L system.

(b) The approving official signing the SAR will be the same employee approving the time in the HRMS T&L system, in most cases. The approving official who signs the SAR and/or performs the online certification must be a designated primary or For the latest version of any NRC directive or handbook, see the online MD Catalog. 19

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 alternate approving official. Under no circumstances will an employee approve his or her own time in the HRMS T&L system and/or on the SAR, nor will an employee approve time he or she has not been previously designated the authority to approve via the Time and Labor Designation, NRC Form 696.

3. Assisting Approving Officials With Approval When the timekeeper provides the SAR to the appropriate official for approval, it will be accompanied by all supporting documentation, including overtime approval forms (NRC Form 145s), credit hour plans/work (NRC Form 710s), leave request forms (OPM 71s), advanced leave request memorandums, jury duty/subpoenas for court leave, orders for military leave, and so on. Refer to the appropriate MD (e.g.,

MD 10.42, MD 10.46, and MD 10.62) regarding required approvals and additional documentation. Timekeepers will provide any error warning messages (i.e., negative leave balances) to the approving officials as necessary.

4. Confirming Approval Timekeepers will confirm signatures on all SARs and supporting documentation. To ensure that all time was approved, timekeepers will run the Unapproved Time Report.

I. Prior Pay Period Adjustments There are two types of prior period adjustments: Normal adjustments adjust total hours or hours charged to a TRC and task-only adjustments adjust the distribution of hours for activities only. Normal adjustments affect employees pay or leave balances and fee billing and must be reported to T&L coordinators and the Time, Labor, and Payroll Services Team. Task-only adjustments affect hours charged between tasks, which may affect fee billing without modifying employees pay or leave balances and must be reported to T&L coordinators.

1. Coordinating Prior Period Adjustments (a) 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 reported time. Timekeepers will print a copy of the approved SAR from the HRMS T&L system. The employee will then annotate corrections as needed.

The employee and the approving official will sign the corrected SAR.

Timekeepers will submit all adjustments to the appropriate T&L coordinator and the Time, Labor, and Payroll Services Team as outlined in Prior Period Adjustment Guidelines, Exhibit 6.

(b) When adjustments are completed and processed by the Time, Labor, and Payroll Services Team or the T&L coordinator, the adjusted time will appear on the SAR for the pay period in which it is processed. Timekeepers will confirm adjustments made by reviewing the SAR for the current period. If timekeepers are not able to confirm an adjustment for two pay periods, they will notify the Time, Labor, and Payroll Services Team for normal adjustments or their T&L coordinator for task-only adjustments.

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DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009

2. Filing and Retaining T&L Documents (a) Timekeepers must retain the original signed SARs, copies of signed SARs for prior period adjustments, and all supporting documents (e.g., overtime request forms (NRC Form 145s), credit hour plans/work (NRC Form 710s), leave request forms (OPM 71s), advanced leave request forms, etc.) for a period of 6 years and 3 months. Data from the most recent year must be readily available in the timekeeper files for auditing purposes. T&L data require protection from disclosure, alteration, and loss. See NRC Announcement No. 82, NRCs Privacy Act Systems of Records and Employee Responsibilities, dated December 16, 2002.

(b) The timekeeper will file any marked-up SARs and related supporting documentation with the SAR containing the adjusted time. This pay period will be the current pay period, not the pay period that is adjusted. Timekeepers do not need to retain other T&L reports, such as the Error Messages Report or the Unapproved Time Report, unless otherwise specified.

V. APPROVING OFFICIAL RESPONSIBILITIES A. Overview Approving officials play a critical role in ensuring that time and labor (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 changes to employees T&L units, approving employee work schedules and assigning work, approving requests such as leave, overtime, credit hours, and so on, approving the time and labor reported by employees, and approving prior period adjustments.

B. Approving Changes to T&L Units

1. Approving officials are responsible for approving the NRC Form 697, T&L Unit Change (available on the online forms icon), each time an employee is added to the T&L unit. NRC Form 697s are prepared by timekeepers. Approved NRC Form 697s will be returned to the appropriate timekeeper for further processing by the Time, Labor, and Payroll Services Team.

2. Employees who were previously designated as timekeepers or approving officials will have their previous access removed each time they change T&L units. To redesignate access as a timekeeper or an approving official, the NRC Form 697 must be accompanied by a corresponding NRC Form 696, T&L Designation (available on the online forms icon).

C. Approving Employee Work Schedules and Assigning Work

1. Approving officials are responsible for approving NRC Form 707, Hours of Work Request (available on the online forms icon) when employees are added to the T&L unit, each time there is a change in an employees work schedule, or when an employee transfers to a new unit for any reason, even if the employee transfers to a unit within the same office. (However, the form is not required when employees For the latest version of any NRC directive or handbook, see the online MD Catalog. 21

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 temporarily change their CWS day off or their 8-hour workday for a single pay period.) Approved NRC Form 707s will be returned to the appropriate timekeeper for further processing by the T&L coordinator.

2. Approving officials are also responsible for assigning work to employees on an ongoing basis and will assist employees in establishing new activity codes that may have to be submitted to T&L coordinators to update the employee time entry reporting profile.

D. Approving Time and Labor Time and labor for all NRC employees must be entered and approved by 3 p.m. on the Monday following the end of a biweekly pay period, unless otherwise directed by the Time, Labor, and Payroll Services Team to accommodate a change in schedule, for example, the holidays. While employees are required to enter time accurately and timekeepers to perform procedures to ensure that the time recorded meets time and labor reporting rules, approving officials are responsible for reviewing the time entered and attesting to its accuracy by signing Summary Approval Reports (SARs) and performing online approval.

E. Approving the SAR SARs, with appropriate documentation such as forms authorizing premium hours, leave time, and credit hour plans/work, are given to approving officials by timekeepers for approval. Approving officials are responsible for ensuring that the appropriate documentation is available, hours and activities are correct, and the employee has signed the SAR. Once approved by the approving official, the signed SAR and supporting documents will be returned to the timekeeper.

F. Online Approval

1. Approving officials are responsible for reviewing the time entered into the HRMS T&L system and verifying its accuracy by performing an online approval process.

Employees whose time has been omitted or contains errors cannot be approved.

The approving official must contact the timekeeper for resolution of these errors and/or omissions.

2. The T&L online tutorial provides approving officials with detailed procedures for approving time. Part II, Section B, Navigation, of this handbook provides directions for accessing the tutorial. In addition, an Approving Official Job Aid is located on NRCs HRMS internal Web site.

G. Approving Prior Period Adjustments

1. Approving officials are required to approve all prior period adjustments. A marked-up SAR supporting a request for a prior period adjustment, along with justification and acceptable supporting documentation, will be supplied to the approving official by the employees timekeeper. If approved, the approving official will sign the SAR and return it to the timekeeper.

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DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009

2. For adjustments more than 6 weeks from the date the original time was reported, a memorandum from the office director or regional administrator requesting approval for the adjustment must be sent to OCFO before the adjustments are made (Exhibit 7). 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. Once adjustments are approved and completed, the adjusted time will appear on the SAR for the pay period in which it was processed.

3. Requests for corrections more than 45 days after the end of the quarter will not be made except in rare, exceptional circumstances. Examples include circumstances that affect employee compensation, specific fee or reimbursable agreement bills, or are material to the financial reporting of the agency.

VI. TIME AND LABOR COORDINATOR RESPONSIBILITIES A. Overview Time and Labor (T&L) coordinators play a critical role in the HRMS T&L system by creating and managing the information therein, which allows employees to properly input daily time. T&L coordinators are responsible for creating and managing activities; creating and managing employee profiles; updating employee workgroup profiles; and loading, editing, and certifying time and labor data for fee billing and processing prior period adjustments.

B. Communicating Agency Policy and Procedures The agency T&L Policy Coordinator (TLPC), OCFO, formulates and provides agencywide policy and procedures for labor reporting. The TLPC develops agency standards, provides resolutions, and monitors agency initiatives affecting labor reporting to ensure that policy and procedures are developed, maintained, and consistently applied throughout the agency. The TLPC issues agency policy and decisions affecting the establishment of standard generic administrative activities and maintains the definitions and usage with input from management, the offices, budget, accounting, and the license fee staff. Also, the TLPC is responsible for conducting periodic reviews of labor hours reported in the HRMS T&L system. Annually, the TLPC facilitates the alignment of the Budget and Reporting (B&R)/T&L activity process and issues an annual B&R/T&L Integration Schedule.

C. Communicating Office Internal Policy and Procedures T&L coordinators serve as the focal contacts to communicate established agency policies and procedures for labor reporting and internal office policies on labor reporting to address management reporting needs beyond those required by the agency.

D. Creating and Managing Activity Codes T&L coordinators are responsible for creating and managing activity codes, such as monitoring and closing activity codes used by employees for entering time into the Human Resources Management System (HRMS) T&L system. Employees who request For the latest version of any NRC directive or handbook, see the online MD Catalog. 23

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 a new activity code should fill out an NRC Form 758, Technical Assignment Control (available on the online forms icon), and send it to the T&L coordinator who will set up a new activity code in the HRMS T&L system. The T&L coordinator also closes an existing activity code in accordance with the employees request and establishes internal office guidance on monitoring and reviewing activity completion dates. Detailed guidance on the opening, closing, and managing of activity codes is provided in Exhibit 8, Work Activity Code Guidance.

1. Creating New Activity Codes T&L coordinators are responsible for (a) creating all new mission-related (non-administrative) activities within the Technical Assignment Control System (TACS) and (b) submitting all requests for new administrative activities to the TLPC for approval.

2. Assigning Activity Codes to Employees (a) The process for assigning an activity code to an employee varies, depending on whether or not the employee is within a Regulatory Information Tracking System (RITS) or a non-RITS office.

(b) For non-RITS employees, T&L coordinators are responsible for assigning activity codes within the HRMS T&L system to them. In order for assigned activity codes to be displayed on an employees daily T&L input screen, the T&L coordinators must update the employees profile in the HRMS T&L system to include all assigned activity codes.

(c) For employees in a RITS office, T&L coordinators are responsible for assigning activity codes in RITS to them. Data in RITS are electronically loaded into the HRMS T&L system. T&L coordinators will review activity codes in the HRMS T&L system to ensure that these codes have been properly updated to the employees T&L profile.

3. Assisting Employees With Activity Codes T&L coordinators are responsible for assisting an employee who has questions on reporting time to a specific activity code, or who has errors in his or her list of activity codes appearing in the HRMS T&L daily time entry panel.

4. Closing Activity Codes T&L coordinators are responsible for the proper closing of activity codes that are no longer in use and ensure that any time charged to closed activity codes is corrected.

This responsibility may require periodic reviews of established activities and communication with staff to confirm the status of open activities.

E. Creating and Managing Employee Profiles

1. T&L coordinators are responsible for ensuring that profiles are established for new employees upon reporting to the organization, and for employees transferring from their office or to different units within their office. For employees who transfer between offices, the T&L coordinator in the receiving office is responsible for modifying the employees profile.

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

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009

2. To create or modify an employees profile, T&L coordinators will follow the procedures contained in the T&L Coordinators Job Aid located on NRCs HRMS internal Web site.

F. Updating Employee Workgroup Profiles Upon receiving e-mail notification from the HRMS T&L system administrator confirming a new employees access to the T&L system, the T&L coordinator will immediately verify that the workgroup the employee is assigned to is correct. T&L coordinators will also verify that workgroups are correct for employees transferring to their office or to different units within their office. T&L coordinators are responsible for updating and verifying changes made to work schedules and workgroup assignments during the current pay period and maintaining the original signed copies of NRC Form 707, Hours of Work Request (available on the online forms icon). When employees terminate from the agency in the middle of a pay period, T&L coordinators will change the employees workgroup to a Mid-Pay workgroup effective the beginning of the pay period.

G. Loading, Editing, and Certifying T&L Data for Fee Billing T&L coordinators are responsible for loading, editing, and certifying T&L data to OCFOs License Fee Team in accordance with the policies and procedures described in MD 4.6, License Fee Management Program.

H. Processing Prior Period Adjustments

1. T&L coordinators are responsible for making task-only prior period adjustments in the HRMS T&L system. Task-only adjustments adjust hours between recorded tasks.

The Time, Labor, and Payroll Services Team makes all normal adjustments modifying and updating earnings and labor distribution in the HRMS T&L system.

T&L coordinators will receive a copy of all Summary Approval Reports that are submitted to and adjusted by the Time, Labor, and Payroll Services Team from the timekeeper. Task-only adjustments and adjustments made by the Time, Labor, and Payroll Services Team may also affect billings to licensees. T&L coordinators are responsible for reporting all such adjustments to the appropriate OCFO License Fee Team contact if the T&L coordinator has previously submitted certified data for billing purposes.

2. T&L coordinators are responsible for maintaining supporting documentation for 6 years and 3 months. Data from the most recent year must be readily available in the T&L coordinators files for auditing purposes.

VII. GLOSSARY Activity Codes. NRC codes used to specify the type of work employees perform that are mission- or non-mission-related. For example, general administration, management supervision, secretarial or clerical, financial management, or licensing and inspection activities.

Apply Rules. Applies daily, weekly, pay period, workgroup, and task group rules related to holiday, absence and compensation rules, and the reported time.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 25

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Edit Time. Ensures that the employee time records contain the latest information prior to approval and updating payroll.

HRMS Time and Labor (T&L) System. A subsystem of the Human Resources Management System used to capture time and attendance 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.

Normal Adjustments. Prior period time is adjusted to correct the total hours or the hours an employee charged to a time reporting code. These adjustments modify an employees pay or leave balances and may impact fee billing, cost and management reporting, or correct time erroneously reported for an activity.

Regulatory Information Tracking System (RITS). Term used in the context of this directive and handbook to describe those offices utilizing those subsystems of RITS for resource or project scheduling and management purposes. This term is used to also broadly categorize those offices using components of the Reactor Program System (RPS) for scheduling and managing projects and activities. Offices considered RITS offices create activities and assign activities to employees in the RITS Technical Assignment Control (TAC) subsystem, the RPS Inspection Planning (IP) subsystem, or the RPS Time, Resource, and Inventory Management (TRIM) subsystem. As activities are created and assigned in these project management systems, the activities and the assignment of those activities are dynamically interfaced with the HRMS T&L system for employees to record expended hours on the activities and to build a list of assigned activities (profiles) on the daily time entry panels for data entry for the employees convenience in reporting. Offices not considered RITS offices are referred to as non-RITS offices.

Summary Approval Report (SAR). An HRMS T&L system report listing an employees time information for each pay period by date and activity. Timekeepers generate this report based on hours worked information recorded by employees HRMS T&L system entries. The employee and the approving official must sign the SAR to attest to its accuracy.

Task-Only Adjustments. Prior period time is adjusted to correct hours reported to an activity. These adjustments do not modify an employees pay or leave balances; however, adjusting hours for activities may impact fee billing, cost and management reporting, or correct time erroneously reported for an activity.

Time and Labor (T&L) Profile. A predefined list of activities assigned to an employee or a group of employees. When assigned, the list appears on the employees daily time entry panels for recording time spent on the activity(ies).

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.

Unapproved Time Report. A report by T&L unit displaying time that has not been approved.

Workgroup. A group of employees who share similar type of work schedules, pay, and compensation rule characteristics.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 26

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 For the latest version of any NRC directive or handbook, see the online MD Catalog. 27

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 For the latest version of any NRC directive or handbook, see the online MD Catalog. 28

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Exhibits Exhibit 1 Summary Approval Report (SAR)

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

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Exhibit 2 HRMS Time Increments Minutes Hour 15 .25 30 .50 45 .75 60 1 For the latest version of any NRC directive or handbook, see the online MD Catalog. 30

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Exhibit 3 Employee Listing Report For the latest version of any NRC directive or handbook, see the online MD Catalog. 31

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Exhibit 4 New Employee Orientation Welcome to the Nuclear Regulatory Commission. You are receiving information about the Human Resources Management System (HRMS) Time and Labor (T&L) system. T&L is used by all NRC employees to record their daily time and hours reported to their assigned activities on a daily basis. This information is used for management reporting and most importantly for employee compensation.

The enclosed information will assist you as you begin using the HRMS T&L system.

T&L Training New employees will review the HRMS T&L Online Tutorial before entering time in the HRMS T&L system. Most questions you may have about the mechanics for entering time in the HRMS T&L system will be answered in the exercises in the online tutorial. To locate the tutorial, click on Agency Wide folder, then click on HRMS, then HRMS Tutorial.

Establishing a T&L Profile Contact your immediate supervisor to obtain a list of activity codes for your work assignments. When the list of activities is obtained, contact your office T&L coordinator and he or she will assist you in establishing a profile in the HRMS T&L system that preprints your activities on a daily basis.

T&L Report Daily Icon - Installation If you do not have the Report Daily Time icon on your desktop or it is not displaying the sign-on screen when you double click, contact the customer support center at 301-415-1234, Option 0. A technician will assist you.

T&L Operator IDs/Passwords Within 3 days of arriving at NRC you will obtain a LAN (local area network) ID. You will be contacted by the HRMS T&L system administrator who will provide you with a password for the HRMS T&L system. You will use your LAN ID as your Operator ID for the HRMS T&L system. If you have not obtained access to the HRMS T&L system within 4 business days of your arrival, please contact the HRMS Help Desk on 301-415-1234, Option 3.

Entering Time You may use the Time Entry Job Aid to assist you in entering your time. If you do not have a preprinted time entry panel that lists your assigned activities, contact your T&L coordinator.

You will need to enter each activity manually until your profile has been assigned.

Enter your time daily. Your timekeeper will notify you of the time entry deadline for each pay period. The time reported must be complete and accurate. If you have questions on reporting time, contact your timekeeper for assistance. The timekeeper may be able to answer your questions or direct you to the appropriate individual for assistance.

Other Information You may browse the HRMS Web site to obtain job aids and additional information at http://www.internal.nrc.gov/OCFO. Click on HRMS.

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

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Exhibit 5 Timekeeper Pay Period Closeout Guidelines The 2-week pay period begins on the Sunday of the first week and ends on the Saturday of the second week. Closeout of the pay period, for timekeeper purposes, occurs on the Monday following the end of the 2-week pay period. By 3 p.m. on that Monday, all time must be entered and approved by each employees approving official. A pay period calendar for the current calendar year is listed on the NRCs HRMS internal Web site.

This guideline does not provide a detailed, step-by-step approach for the review and approval of employee time. It does, however, provide a general outline that will make the process more orderly and efficient. Guidelines will be modified to meet the specific needs and circumstances of the office.

1. Each day Timekeepers and management will encourage employees to enter their time daily. Daily input will improve the accuracy of the time reported and the pay period closeout procedures.

2. Friday of the first week of a pay period Timekeepers run and print the Unapproved Time Report and review the report to identify employees who have not entered time for the first week. Timekeepers will remind employees to enter time for the week.

Timekeepers run and print the Error Messages Report and review it to identify employee errors for those who have entered time. Summary Approval Reports (SARs) are run and printed for those employees with errors. The SARs are marked up and provided to employees who must correct errors. A listing of the most common error messages and proposed solutions can be found in Error Messages Job Aid.

3. Friday of the second week of a pay period Timekeepers run and print the Unapproved Time Report and review it to identify employees with missing time for the 2-week period.

Timekeepers remind employees to enter their time for the pay period. Timekeepers will enter time for those employees absent from the office in accordance with their prior instructions. Timekeepers run and print the Error Messages Report and review it to identify employee errors. SARs are run and printed for those employees with errors, then the SARs are marked up and provided to employees who must correct errors.

4. Monday morning after the pay period ends From the Self Service for Managers menu in the HRMS T&L system, timekeepers click on the Approve Time option and check for

! and R error indicators on the Approve Time Panel, and then click on View Omitted Employees. If employees have an ! or an R and/or employees are omitted, timekeepers will run the Error Messages and the SARs. Timekeepers will review the reports to identify errors. The SARs are then marked up and provided to employees who must correct errors.

Once errors are corrected, the timekeeper runs the Edit Time and Apply Rules processes for only those employees.

5. Monday mid-afternoon after the pay period ends All errors will have been resolved and all employees times will have been entered. The Edit Time and Apply Rules processes will have been run for those employees with corrected time entries.

From the Self Service for Managers option within the HRMS T&L system, timekeepers will click on the Approve Time option and check to ensure no employees are on the View For the latest version of any NRC directive or handbook, see the online MD Catalog. 33

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Omitted Employees list. If there are employees on this list, recheck for time entry errors as described above. After all errors have been corrected and all employees are ready for approval, the timekeepers run the SARs and provide the reports to employees and the approving officials to review and sign. The approving officials also approve employees time in the HRMS T&L system. Timekeepers must retain the original signed SAR as a permanent record.

6. Monday late-afternoon If any changes were made to the time reported as a result of the approving officials review, rerun the Edit Time and Apply Rules processes and rerun the SAR for those individuals only. The new SAR must be signed by the employee and the approving official and retained by the timekeeper. After the approving official has approved employees times, timekeepers will confirm approval of all employees by running the Unapproved Time Report. Timekeepers will also run the Approved Time Audit Report and retain it in the file for that pay period.

By 3 p.m. on the Monday following the end of a pay period All employees time will have been correctly entered by employees, approved by the Approving Official, and supported by appropriate documentation maintained by the timekeeper.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 34

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Exhibit 6 Prior Period Adjustment Guidelines Submitting Normal Adjustments to the Time, Labor, and Payroll Services Team All adjustments that affect changing Time Reporting Codes (TRCs) or hours charged to a TRC will be submitted to the Time, Labor, and Payroll Services Team (TLPST) as follows:

Step 1: Determine if changes are valid and a justification and supporting documentation for the changes are available. Acceptable forms of documentation include, but are not limited to (i) A previously approved Request and Authorization for Irregular or Occasional Overtime or Compensatory Time (NRC Form 145) showing hours to be reported that were not reflected on the Summary Approval Report (SAR) because the employee was absent or could not enter their own time.

(ii) A previously approved Request for Leave or Approved Absence (OPM 71) that shows leave intended to be taken but not accurately reported on the SAR because the employee was absent or could not enter his or her own time.

(iii) A copy of correspondence that relates to the work product, for example, a request that provides the correct activity codes, issued correspondence, e-mail, or other hard or soft copy documentation.

(iv) Other evidence that can support the request for changing previously reported and approved time.

Step 2: Print the SAR for the pay period that is to be corrected.

Step 3: Annotate your corrections needed on the SAR. Be sure to include the activities associated with the hours reported. Do not use your file copy of the SAR as the report may not contain the latest information in the HRMS T&L system.

Step 4: Obtain the employee and approving official signatures on the corrected SAR.

Step 5: For corrections less than 6 weeks from the date the original time was reported, submit the original signed copy to your TLPST contact for processing and a copy to your T&L coordinator. Retain a copy of the corrected SAR in your files in the pay period that the correction is submitted to the TLPST.

Step 6: For corrections more than 6 weeks from the date the original time was reported, send the original signed copy of the corrected SAR and the request from the office director or regional administrator to OCFO for review and approval. OCFO will notify the office T&L coordinator when the request has been approved for processing by the TLPST. See a sample of the memorandum in Exhibit 7. Retain a copy of the corrected SAR in your files in the pay period that the correction is submitted to OCFO.

If no supporting documentation is submitted with the request, the request for changes will be denied.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 35

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Requests for corrections more than 45 days after the end of the quarter will not be made except in rare, exceptional circumstances. Examples include circumstances that affect employee compensation, specific fee or reimbursable agreement bills, or are material to the financial reporting of the agency.

Submitting Task-Only Adjustments to T&L Coordinators All adjustments (task-only adjustments) that affect changing the time charged to an activity, and not the total hours charged to the TRC, will be submitted to your T&L coordinator as follows:

Step 7: Follow steps 1 through 4 above.

Step 8: For corrections less than 6 weeks from the date the original time was reported, submit the original signed copy to your T&L coordinator for processing. Task-only corrections less than 6 weeks old should not be sent to OCFO. Retain a copy of the corrected SAR in your files in the pay period that the correction is submitted to your T&L coordinator.

Step 9: For corrections more than 6 weeks from the date the original time was reported, send the original signed copy of the corrected SAR and the request from the office director or regional administrator to OCFO for review and approval. OCFO will notify the office T&L coordinator when the request has been approved for processing by the T&L coordinator. See a sample of the memorandum in Exhibit

7. Retain a copy of the corrected SAR in your files in the pay period that the correction is submitted to OCFO.

Requests for corrections more than 45 days after the end of the quarter will not be made except in rare, exceptional circumstances. Examples include circumstances that affect employee compensation, specific fee or reimbursable agreement bills, or are material to the financial reporting of the agency.

Confirming Adjustments When adjustments are completed, the adjusted time will appear on the SAR for the pay period in which it is processed. For example, in pay period two, a timekeeper forwards to the TLPST a correction for pay period one; the corrected time will appear on the pay period two SAR. Timekeepers will confirm adjustments made by reviewing the SAR for the current period. If for two pay periods you are not able to confirm the adjustment, notify your TLPST contact for normal adjustments or your T&L coordinator for task-only adjustments.

Filing T&L Documents The SAR displaying the completed adjustments will be filed with the SAR showing the annotated adjustments in the pay period the adjustments are made, not the pay period that was adjusted. Any supporting documentation will accompany the corrected SAR. These T&L documents must be retained for a period of 6 years and 3 months. Timekeepers do not need to retain other T&L reports such as the Error Messages Report or the Unapproved Time Report unless otherwise specified.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 36

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Exhibit 7 Sample Request for Review/Approval of Prior Period Adjustment(s) of More Than 6 Weeks MEMORANDUM TO: Name, Deputy Director for Financial Services Division of the Controller 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 nonrecurrence 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

Enclosures:

1. Corrected SAR(s)

2. Supporting Documents For the latest version of any NRC directive or handbook, see the online MD Catalog. 37

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Exhibit 8 Work Activity Code Guidance The following criteria are provided to guide staff in determining an appropriate level of detail for establishing time reporting activity codes that are below NRCs budgeted and reporting planned activity level. The objectives should consider the cost and administrative burden versus the benefit in defining activity codes with precision. An activity code is called a Technical Assignment Control (TAC) or an Inspection Report (IR) number.

Mission Direct Mission-related time will be recorded in the HRMS time and labor (T&L) system by NRC staff that supports the programmatic objectives of the agency. It is NRCs policy that labor hours are recorded in the HRMS T&L system, at a minimum, to an effort assigned to a planned activity (i.e., the programmatic objectives of the agency). 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, Administrative Control of Funds, Part VIII. For mission direct effort, two categories are defined in guiding the precision required for tracking activity codes: (1) activity codes defined as billable and (2) activity codes characterized as nonbillable. Billable activity codes are defined according to 10 CFR Part 170 full cost fee billing. Included in the billable category for purposes of this guidance are codes established to recover cost for reimbursable agreements based on full cost billing criteria. Nonbillable codes are established to meet direct objectives. Codes characterized as nonbillable activity codes are defined under 10 CFR Part 171, which addresses the annual fees. They include materials licensing and inspection TAC codes (hours expended on these activity codes are used during the biennial review to determine Part 171 annual fees).

Criteria Criterion 1: Billable TACs (Site Specific) [Minimal exceptions 1 authorized with office director approval and to be monitored by OCFO]:

Open one TAC per docket or project number per major technical review. Project Manager (PM) TACs are pre-existing and should remain open. Do not create TACs for milestone tracking within a major technical review or create TACs for processes fundamental to completing the major review.

Open one TAC per docket or project number per application package. PM TACs are pre-existing and should remain open. Do not create TACs for individual sub-reviews contained within the larger submittal.

1 Exceptions for milestone tracking will be limited with the office directors approval and notification to OCFO.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 38

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Open TACs within 5 business days of receipt of application or registration for which a fee is prescribed. Documentation posted in ADAMS is required when opening billable TACs.

Close all TACs within one pay period of the completed action (except PM TACs).

See supplemental guidance for TACs established for full cost license fee billing, full cost reimbursable (interagency agreements), and Nuclear Waste Fund Reporting in MD 4.6 and MD 4.2. Documentation posted in the Agencywide Documents Access and Management System (ADAMS) is required when closing billable TACs.

Criterion 2: Billable and Nonbillable Inspections [Nonbillable (e.g., Agreement States, Non-Profit Educational Institutions, Materials Inspections)]

Open inspection reports at least one pay period in advance of expected time charges but not more than the current fiscal year in advance of expected time charges.

Close inspection reports within one pay period of issuing the inspection report or one pay period after a required licensee response and completion of NRC final actions on the report.

Close all inspection reports opened in prior fiscal years with no hours charged.

Close all nonbillable inspection reports more than 1 year old with less than 8 hours9.259259e-5 days <br />0.00222 hours <br />1.322751e-5 weeks <br />3.044e-6 months <br /> charged.

See supplemental guidance for inspection reports established for full cost license fee billing.

Documentation posted in ADAMS is required when closing billable inspection reports.

Criterion 3: Nonbillable TACs (Generic Technical Reviews or Site Specific [Exceptions authorized for agencywide drills/exercises with office director approval]):

Agency policy requires employees to report time at least at the budgeted planned activity level unless a TAC established at the budgeted planned activity level does not provide sufficient level of detail for tracking resource expenditures.

Open one TAC to support a budgeted planned activity. Do not open TACs for general meetings or minor individual tasks, or to break out similar support into subcategories. Or open one TAC to track a project, technical review, or business process level. Materials Inspection TACs are pre-existing and should remain open for regional materials inspections. Do not use TACs for milestone tracking within a major project, for counting individual actions, or for steps fundamental to a major process (except for input to the Blue Book or the Green Book).

Open TAC one pay period in advance of expected time charges.

Close all TACs within one pay period of completion (except pre-existing materials inspection TACs).

Close all TACs more than 1 year old with no hours charged.

Generic TACs must be documented in office-specific guidance with appropriate details communicated to employees on their intended use.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 39

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Criterion 4: Nonbillable TACs (Items of major interest or concern to the NRC):

Open one TAC according to supplemental guidance in a memorandum from T. Pulliam, OCFO, General Guidance for Labor Reporting on Items of Major Events and Interest, dated November 21, 2003 (ML040070630). Senior Management concurrence is required.

Close all TACs within one pay period of completion (except materials licensing TACs, which are pre-existing and should remain open for regional materials licensing activities).

Close all TACs more than 1 year old with no hours charged.

Mission Indirect Non-mission-related time does not directly contribute to the programmatic objectives of the agency. This time is generally administrative in nature, incidental to carrying out NRCs mission, but is integral to conducting business at the NRC. Time spent not directly attributable to meeting the programmatic objectives of the agency will be recorded using the list of approved administrative activity codes provided on the NRC HRMS internal Web site.

Criterion 5: Other TACs (General Administration):

Use agencywide administrative codes.

See HRMS Web sites for list of NRCs Administrative Codes.

Criterion 6: Other TACs (Training):

Use agencywide training codes for training attendance.

Open one TAC per staff-developed, contracted-for, or office-sponsored training course.

Close all office-specific TACs within one pay period of completion.

See HRMS Web sites for supplemental guidance from the Office of Human Resources, dated April 3, 2005.

Criterion 7: Other TACs (Information technology (IT) Software Development Projects):

Open one TAC per IT software development project.

Close all TACs within one pay period of completion of development activities.

Close all TACs more than 1 year old with no hours charged.

See guidance in Yellow Announcement No. 63, Internal Use Software, dated September 7, 2006.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 40

DH 10.43 TIME AND LABOR REPORTING Date Approved: 09/29/2009 Exhibit 9 Time Reporting of Special Government Employees NRC needs to ensure that NRC special Government employees

• Enter their time into the HRMS T&L System biweekly. It is recommended that they do this on a daily basis. They are paid only when they report time.

• Report their time in a timely manner to ensure they do not exceed the number of work hours and/or workdays authorized for their appointments.

• Adhere to the agencys policy and any internal office guidance on time reporting (e.g.,

reporting time to specific activity codes, time-entry deadlines).

• Without routine access to Headquarters or regional offices, have access to Citrix.

• Not entering their own time, provide a memorandum to OCFO indicating the circumstance. In such cases, timekeepers can enter their time, although the employees and approving officials are still required to certify the report time.

Biweekly self-reporting of time by special Government employees helps improve the following:

• Fee-billable activities

• Cost management

• The viability of internal controls in time reporting across all units/types of employees HR is required to

• Send letter to newly appointed and renewed special Government employees to include the requirement of biweekly reporting of time.

• Provide reports of hours/days worked, biweekly, to offices that have special Government employees.

OCFO ensured that

• The HRMS T&L system does not allow entering of time that exceeds the number of work hours and/or workdays authorized for their appointments.

• The Summary Activity Report displays the days or hours limit (the maximum number of days these employees can work each fiscal year as expressed in their appointment letter from HR) and the fiscal year-to-date days or hours worked.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 41