ML23298A158
| ML23298A158 | |
| Person / Time | |
|---|---|
| Issue date: | 10/24/2023 |
| From: | Virkar H NRC/OIG/AIGA |
| To: | Dan Dorman NRC/EDO |
| References | |
| OIG-23-A-09 | |
| Download: ML23298A158 (1) | |
Text
MEMORANDUM DATE: October 24, 2023 TO: Daniel H. Dorman Executive Director for Operations FROM: Hruta Virkar, CPA /RA/
Assistant Inspector General for Audits
SUBJECT:
STATUS OF RECOMMENDATIONS: AUDIT OF THE U.S.
NUCLEAR REGULATORY COMMISSIONS VOLUNTARY LEAVE TRANSFER PROGRAM (OIG-23-A-09)
REFERENCE:
DEPUTY EXECUTIVE DIRECTOR FOR MATERIALS, WASTE, RESEARCH, STATE, TRIBAL, COMPLIANCE, ADMINISTRATION, AND HUMAN CAPITAL PROGRAMS MEMORANDUM DATED SEPTEMBER 22, 2023 Attached is the Office of the Inspector Generals (OIG) analysis and status of recommendations as discussed in the agencys response dated September 22, 2023.
Based on this response, recommendation 5 is now closed, and recommendations 1,2,3,4 and 6 remain open and resolved. Please provide an updated status of the open, resolved recommendations by June 28, 2024.
If you have any questions or concerns, please call me at 301.415.1982 or Paul Rades, Team Leader, at 301.415.6228.
Attachment:
As stated cc: M. Bailey, AO M. Meyer, DAO J. Jolicoeur, OEDO OIG Liaison Resource EDO_ACS Distribution NRC Headquarters l 11555 Rockville Pike l Rockville, Maryland 20852 l 301.415.5930 nrcoig.oversight.gov
Audit Report AUDIT OF THE U.S. NUCLEAR REGULATORY COMMISSIONS VOLUNTARY LEAVE TRANSFER PROGRAM Status of Recommendations (OIG-23-A-09)
Recommendation 1: Update roles and responsibilities in appropriate agency guidance to ensure program oversight and continuous monitoring of VLTP participant eligibility.
Agency Response Dated September 22, 2023: The staff concurs with the recommendation.
The staff is updating Management Directive (MD) 10.62, Leave Administration, and enhancing the Office of the Chief Human Capital Officer (OCHCO) Leave Share webpage to provide comprehensive guidance on the VLTP as well as establish clear and well-defined roles and responsibilities, including continuous monitoring and accurate recordkeeping.
Regarding the MD 10.62 not specifying which unit or official is responsible for VLTP oversight and monitoring, we believe it is essential that the CHCO retains the discretion to designate, in writing, the responsible unit or official for the VLTP. This flexibility allows the NRC to adapt to changing circumstances and tailor the program structure as needed.
Therefore, the revised MD 10.62 will not specify the responsible unit or official. However, the agencys Leave Share webpage will include the name and contact information of the VLTP Program Coordinator.
Target date for completion: May 31, 2024 OIG Analysis: The actions described in the staff response meet the intent of this recommendation. The OIG will close this recommendation after reviewing updates to Management Directive 10.62 and the OCHCO Leave Share web page to verify the incorporation of the proposed content changes.
This recommendation remains open and resolved.
Status: Open: Resolved.
2
Audit Report AUDIT OF THE U.S. NUCLEAR REGULATORY COMMISSIONS VOLUNTARY LEAVE TRANSFER PROGRAM Status of Recommendations (OIG-23-A-09)
Recommendation 2: Revise applicable policies and procedures to reflect current practices and address inconsistencies and outdated information.
Agency Response Dated September 22, 2023: The staff concurs with the recommendation.
The staff is actively updating Management Directive (MD) 10.62, Leave Administration, and enhancing the Office of the Chief Human Capital Officer (OCHCO) Leave Share webpage to revise agency policies and procedures that will ensure consistency with current Federal regulations and agency processes and recordkeeping policy. Additionally, the OCHCO is updating its internal standard operating procedures (SOP) to reflect current practices and ensure the SOP is consistent with agency guidance.
Target date for completion: May 31, 2024 OIG Analysis: The actions described in the staff response meet the intent of this recommendation. The OIG will close this recommendation after reviewing updates to Management Directive 10.62, the OCHCO Leave Share web page, and the OCHCO internal SOP to verify consistency with applicable Federal regulations and agency policies and procedures.
This recommendation remains open and resolved.
Status: Open: Resolved.
3
Audit Report AUDIT OF THE U.S. NUCLEAR REGULATORY COMMISSIONS VOLUNTARY LEAVE TRANSFER PROGRAM Status of Recommendations (OIG-23-A-09)
Recommendation 3: Establish a process to identify voluntary leave recipients who have stayed in the program for an extended time period and provide guidance for OCHCO staff on what actions, if any, they should take regarding such recipients.
Agency Response Dated September 22, 2023: The staff concurs with the recommendation.
The staff will establish a process for conducting a thorough assessment of the case files of current leave recipients to verify their ongoing eligibility. To facilitate this process, the VLTP Program Coordinator has engaged with several recipients to determine the status of their medical emergency. Updated medical documentation and recertification using the OPM 630, Application to Become a Leave Recipient Under the Voluntary Leave Transfer Program has been requested from the current leave recipients. The process will ensure that in cases where it is determined that an employee is no longer eligible to be a leave recipient under the VLTP, the employee will be notified promptly of the agencys determination and the date their participation in the program will be terminated.
Target date for completion: December 31, 2023 OIG Analysis: The actions described in the staff response meet the intent of this recommendation. The OIG will close this recommendation after verifying implementation of the proposed process for validating VLTP participant eligibility.
Status: Open: Resolved.
4
Audit Report AUDIT OF THE U.S. NUCLEAR REGULATORY COMMISSIONS VOLUNTARY LEAVE TRANSFER PROGRAM Status of Recommendations (OIG-23-A-09)
Recommendation 4: Implement a means of capturing required voluntary leave recipient information and use this information to conduct continuous monitoring to ensure leave recipients remain affected by a medical emergency.
Agency Response Dated September 22, 2023: The staff concurs with the recommendation.
The staff has created an internal process aimed at improving our ability to capture VLTP leave recipient information, that documents the date that the employee enrolled in the VLTP, their expected and actual termination dates from the program, and the amount of and date donations are received from donors. Additionally, the staff maintains case files for each leave recipient that includes the VLTP application (OPM 630), medical certification, VLTP approval memorandum, Federal Personnel and Payroll System (FPPS) leave record, and any other pertinent documents relevant to each leave recipients case. The staff will develop procedures to ensure continuous monitoring.
Target date for completion: May 31, 2024 OIG Analysis: The actions described in the staff response meet the intent of this recommendation. The OIG will close this recommendation after verifying implementation of the proposed process for validating VLTP participant eligibility.
Status: Open: Resolved.
5
Audit Report AUDIT OF THE U.S. NUCLEAR REGULATORY COMMISSIONS VOLUNTARY LEAVE TRANSFER PROGRAM Status of Recommendations (OIG-23-A-09)
Recommendation 5: Develop and implement quality assurance measures to ensure recordkeeping of voluntary leave recipient documents complies with federal and agency record retention requirements.
Agency Response Dated September 22, 2023: The staff concurs with the recommendation.
The staff has developed a system to track and maintain VLTP records through the private Microsoft Teams channel (Leave Share Program). Once a case is closed, the case status is documented and entered in FPPS. Additionally, the close date is annotated on the case file and then the case file is moved to a Closed Cases folder. The staff reviews closed cases monthly to determine if case files should be destroyed in accordance with federal and agency record retention policy. Figure 1 shows the VLTP closed case statuses.
Figure 1: Closed Case Statuses Target date for completion: Completed.
OIG Analysis: The actions described in the staff response meet the intent of this recommendation. Based on supporting information in the staff response, this recommendation is now closed.
Status: Closed.
6
Audit Report AUDIT OF THE U.S. NUCLEAR REGULATORY COMMISSIONS VOLUNTARY LEAVE TRANSFER PROGRAM Status of Recommendations (OIG-23-A-09)
Recommendation 6: Conduct quality assurance checks to validate voluntary leave recipients enrollment and termination dates and to ensure dates are captured correctly in the FPPS.
Agency Response Dated September 22, 2023: The staff concurs with the recommendation.
The staff will develop quality assurance procedures and implement quarterly quality assurance checks to ensure dates are captured correctly in FPPS, cross-referencing FPPS dates with the documentation related to each leave recipients enrollment. In addition to quarterly reviews, the staff will also conduct quality assurance reviews prior to closing a VLTP case.
Target date for completion: May 31, 2024 OIG Analysis: The actions described in the staff response meet the intent of this recommendation. The OIG will close this recommendation after verifying development and implementation of the proposed quality assurance procedures.
Status: Open: Resolved.
7