4 FAH-3 H-520
ATTENDANCE AND LEAVE
(CT:FMP-88; 03-17-2015)
(Office of Origin: CGFS/FPRA/FP)
4 FAH-3 H-521 DESCRIPTION AND
AUTHORITIES
4 FAH-3 H-521.1 Description
(TL:FMP-18; 05-14-2003)
Attendance and leave provides information on timekeeping
functions, including the maintenance of time and attendance and leave records,
and responsibilities associated with such maintenance and reporting
requirements of the time and attendance and leave records.
4 FAH-3 H-521.2 Authority and
Applicability
(TL:FMP-18; 05-14-2003)
a. Chapters 61 and 63 of 5 U.S.C. provide authority for
attendance and leave. GAO-03-352G, Maintaining Effective Control over Employee
Time and Attendance Reporting (2003), and SR-9905, Human Resources and Payroll
Systems Requirements (1999), issued by the Joint Financial Management
Improvement Program (JFMIP), prescribe requirements for maintaining and
reporting time and attendance (T&A) and leave.
b. This subchapter applies to U.S. citizen employees.
The leave benefits of FSN employees, non-U.S. citizen personal services
contractors, and American citizens are determined by the local leave plan. Any
leave benefits of U.S. citizen personal services contractors are those
contained in contracts, but to be serviced by the Consolidated American Payroll
Processing System (CAPPS) must be compatible with the parameters of leave
benefits of employees. All require biweekly reporting to a payroll system of
time worked and leave taken.
4 FAH-3 H-522 DEFINITIONS
(CT:FMP-71; 04-23-2013)
Calendar year: A period of 12
consecutive calendar months beginning the first day of January and ending the
last day of December.
Fiscal year: A period of 12
consecutive calendar months beginning the first day of October and ending on
the last day of September of the next calendar year.
Leave year: The period
beginning with the first day of the first complete pay period in a calendar
year and ending with the day immediately before the first day of the first
complete pay period in the following calendar year.
4 FAH-3 H-523 MANAGEMENT CONTROLS
4 FAH-3 H-523.1 Separation of
Duties
(TL:FMP-4; 06-15-1995)
In accordance with prudent management control practices,
the following functions should be separated from one another:
(1) Recording T&A data;
(2) Approving T&A reports;
(3) Payroll computations and certification of payroll
vouchers; and
(4) Recording of payroll data in the accounts.
4 FAH-3 H-523.2 Authorization
(TL:FMP-4; 06-15-1995)
Premium pay, such as overtime, night, holiday, and Sunday
work, must be authorized in advance by an authorizing official. In
emergencies, a supervisor who is not an authorizing official may order an
employee to perform up to eight hours per pay period of premium compensation
work. As soon as possible, that order must be reviewed and signed by the
authorizing official. All authorizations must be in writing.
4 FAH-3 H-523.3 Proper
Documentation
(TL:FMP-4; 06-15-1995)
There should be complete, accurate, and proper
documentation of time and attendance data, leave, and premium pay for all
employees. Any adjustment or change in records must be documented and
certified by the appropriate official.
4 FAH-3 H-524 MAINTAINING TIME AND
ATTENDANCE (T&A) AND LEAVE RECORDS
4 FAH-3 H-524.1 Time and Attendance
Requirements
(CT:FMP-88; 03-17-2015)
An accurate record of the time an employee works and/or is
absent must be recorded daily. T&A data may be recorded on T&A forms
or entered directly into an automated system. T&A and leave records should
be retained for six years after the end of the leave year or destroyed after a
U.S. Government Accountability Office audit, whichever occurs first.
4 FAH-3 H-524.2 Basis for Recording
Time and Attendance Data
(TL:FMP-4; 06-15-1995)
Recorded T&A data must be based on one of the
following methods:
(1) Supervisor or timekeeper observation and recording
of employees hours worked;
(2) Time clock or other automated timekeeping devices,
where not prohibited by law; or
(3) Serial sign-in/sign-out sheets on which employees
sign their names and record their times of arrival in the order they arrive.
When employees leave, they must sign their names again, in the order of
departure and record their departure time.
4 FAH-3 H-524.3 Maintaining Time
and Attendance Records
(TL:FMP-18; 05-14-2003)
T&A forms, supporting documents, or computer files of
time and attendance data must document daily starting and ending times for:
(1) Regular time worked;
(2) Time worked for which premium pay is applicable,
by type of premium pay;
(3) Credit hours and compensatory time earned and
used; and
(4) Hours of leave used by type of leave.
4 FAH-3 H-524.4 Leave Accrual and
Maintenance of Leave Records
4 FAH-3 H-524.4-1 Leave Accrual
(TL:FMP-18; 05-14-2003)
a. The payroll system must contain accurate information
on each employee's type of appointment and the leave hours to which the
employee is entitled. The number of hours of each type of leave must be
accurately computed per pay period using correct accrual rates. For accrual
rates for U.S. citizen employees, see 3 FAH-1 H-3412
and H-3413, Full-Time Employees and Part-Time Employees, respectively, for
annual leave and 3 FAH-1 H-3422,
Accrual, for sick leave. Leave benefits in contracts with U.S.
citizen personal services contractors must be compatible with employee accrual
rules. Foreign Service Nationals and AMCITS accrue leave according to the
approved local leave plan.
b. Reduction is made at the beginning of each leave
year for accumulated annual leave exceeding applicable leave ceilings.
Controls must be implemented to ensure that accumulated leave in excess of the
applicable leave ceiling is dropped.
4 FAH-3 H-524.4-2 Maintaining
Leave Records
(CT:FMP-71; 04-23-2013)
Leave records must be maintained in automated systems or
appropriate manual files and must contain the following information for each
employee:
(1) The rate of accrual for each type of leave that
may be accrued;
(2) The hours or days accrued and used by leave type
(i.e., annual, sick, compensatory, or home);
(3) Any advance leave authorized, including the date
through which the leave is authorized, the type of leave advanced, and the
total hours or days advanced;
(4) Any leave received under the voluntary leave
transfer program (5 CFR 630.900) or restored annual leave; and
(5) Applicable leave ceilings by type of leave.
4 FAH-3 H-525 ATTENDANCE AND LEAVE
FUNCTION RESPONSIBILITY
4 FAH-3 H-525.1 Head of Each Office
4 FAH-3 H-525.1-1 Maintaining
Attendance and Leave Records
(TL:FMP-18; 05-14-2003)
The head of each office in the Department or management
officer at post must ensure that leave and attendance records of all employees
of the office are maintained in accordance with provisions of this subchapter.
4 FAH-3 H-525.1-2 Establish
Controls
(TL:FMP-18; 05-14-2003)
The head of each office or the management officer at post
must also establish controls for accurate and timely recording and reporting of
time and attendance.
4 FAH-3 H-525.1-3 Training
(TL:FMP-18; 05-14-2003)
In order to ensure efficient and accurate procedures for
the T&A function, the head of each office should ensure that timekeeping
refresher training, which may include seminars and lectures, is conducted
periodically for the responsible personnel of the office. This training may be
conducted in coordination with other offices in the Department.
4 FAH-3 H-525.2 Supervisors
Responsibilities
4 FAH-3 H-525.2-1 Designating
Timekeepers
(TL:FMP-18; 05-14-2003)
Supervisors are responsible for designating timekeepers.
Supervisors are also responsible for assuring that timekeepers are adequately
trained and are observing the prescribed procedures for recording and reporting
attendance, leave, overtime, and duty for which premium or differential rates
are applicable.
4 FAH-3 H-525.2-2 Ensuring
Accuracy of Time and Attendance Reports
(TL:FMP-18; 05-14-2003)
Supervisors are accountable for the accuracy of T&A
reports. Since approval of T&A reports is based on the reliance of
management controls, the supervisors must have a reasonable basis for verifying
accuracy and compliance with those controls.
4 FAH-3 H-525.2-3 Reviewing and
Approving Time and Attendance Reports
(TL:FMP-4; 06-15-1995)
Supervisors must review and approve T&A reports of
employees for whom they are responsible. Supervisors must also ensure that the
approved T&A reports are submitted to the servicing payroll office by the
due date. In case of any adjustment to leave records of an employee, the
supervisor must review and certify such changes on the leave statement.
4 FAH-3 H-525.2-4 Approving Leave
(TL:FMP-18; 05-14-2003)
Leave should be approved by the supervisor prior to being
taken. The approved Form OPM-71, Request for Leave or Approved Absence, is
then submitted to the timekeeper to make an entry on the T&A report.
4 FAH-3 H-525.3 Timekeepers
Responsibilities
4 FAH-3 H-525.3-1 Observing
Actual Daily Attendance
(TL:FMP-4; 06-15-1995)
The normal basis for recording T&A is the observation
by the supervisor or timekeeper of employees hours worked. Instances where
this is not possible require reasonable assurance of correctness of T&A
reporting.
4 FAH-3 H-525.3-2 Recording
Attendance, Leave, and Premium Time
(TL:FMP-18; 05-14-2003)
Timekeepers are responsible for making attendance entries
on T&A records daily unless sign-in and sign-out sheets are maintained in
the office. Leave entries must be made based on the approved leave application
form. Before recording premium time worked, timekeepers must determine that
the premium time is authorized.
4 FAH-3 H-525.3-3 Completing Time
and Attendance Reports
(TL:FMP-18; 05-14-2003)
Designated timekeepers are responsible for completing the
T&A reports and for ensuring correctness of all recorded information
therein before submitting these reports to the supervisor.
4 FAH-3 H-525.3-4 Restrictions on
Duties Performed by Timekeepers
(CT:FMP-71; 04-23-2013)
a. Timekeepers must not post their own T&A data.
Arrangements should be made for a backup or alternate timekeeper within the
office to maintain the timekeepers T&A data on the T&A system.
b. T&A reports must not be approved by employees
performing timekeeping functions.
c. In those situations where salary is paid by check,
such checks are not to be distributed or handled by employees who perform
timekeeping functions.
4 FAH-3 H-525.3-5 Employee Under
Suspension, AWOL, or LWOP Status
(TL:FMP-4; 06-15-1995)
When a timekeeper has been notified that an employee has
been placed on AWOL, LWOP, or suspended, the timekeeper must indicate on the
T&A reports the number of hours that the employee has been in that status.
4 FAH-3 H-525.4 Employees
Responsibilities
4 FAH-3 H-525.4-1 Affirming
Accuracy and Completeness
(TL:FMP-4; 06-15-1995)
a. Employees share responsibility with the timekeeper
and the supervisor in affirming the accuracy and completeness of leave taken
and that overtime, holiday, and compensatory time reported was authorized and
worked.
b. Employees must submit a leave application form to
the supervisor for approval before taking leave. For other than regularly
scheduled work, employees must sign or initial against their name in the
T&A report to verify the accuracy of the entries on the report. This
verification does not constitute supervisory approval of the reports that must
still be made. Each employee must review his or her Earnings and Leave
Statement and disclose any discrepancies to supervisors promptly.
4 FAH-3 H-525.4-2 Employees in
Travel Status
(TL:FMP-4; 06-15-1995)
Employees in travel status are responsible, once they have
completed travel, for advising the appropriate office at post or in Washington, D.C., of any leave taken. Such leave usage must be consistent with the filed
travel voucher.
4 FAH-3 H-526 TIME AND ATTENDANCE AND
LEAVE REPORTING
4 FAH-3 H-526.1 Requirements
4 FAH-3 H-526.1-1 Reporting Mode
(TL:FMP-18; 05-14-2003)
T&A data can be reported either on an approved hard
copy document or transmitted by approved electronic media. In the event of an
electronic transmittal, the timekeeper must retain the hard copy supporting
documents.
4 FAH-3 H-526.1-2 Reporting
Requirements
(TL:FMP-4; 06-15-1995)
T&A reports may cover no more than one pay period. At
a minimum, the following data must be included on the T&A report for each
employee for each pay period:
(1) Employee name and identifying number (social
security number or employee number);
(2) Pay period number or dates;
(3) Number of hours worked by day and in total;
(4) Number of hours of premium pay, by type of premium
pay, to which the employee is entitled;
(5) Number of credit hours and compensatory time
earned;
(6) Number of hours of leave (by type), credit hours,
and compensatory time used;
(7) Dates and times leave was taken; and
(8) Handwritten signature or initials for any leave,
premium, or any other special hours.
4 FAH-3 H-526.1-3 Adjustments
(TL:FMP-4; 06-15-1995)
Any adjustments required because of changes after the
T&A report was approved must be made in the payroll system and reflected in
the pay period to which the changes apply. Changes should be made as soon as
possible after discovery and must be approved by an authorizing supervisor
prior to being transmitted to the servicing payroll office.
4 FAH-3 H-526.1-4 Approval of
Time and Attendance Reports
(TL:FMP-4; 06-15-1995)
All T&A reports and other supporting documents must be
reviewed and approved by an authorized supervisor in accordance with the
requirements listed below:
(1) Approval of T&A documents must be based on
knowledge from personal observation, from timekeeper attestation, from reliance
on other management controls, or a combination of these;
(2) T&A documents must be approved as close to the
end of the pay period as possible to allow for processing of the payroll by pay
day; and
(3) Approval must be indicated either by a handwritten
signature or an approved system that provides for an automated signature.
Automated approval must be made by entering designated codes into an automated
system with appropriate safeguards to prevent unauthorized entry.
4 FAH-3 H-526.2 Submission of Time
and Attendance Reports
(CT:FMP-71; 04-23-2013)
a. The timekeeper must submit T&A reports to the
servicing payroll office for all employees and PSCs after being approved in
accordance with 4 FAH-3
H-526.1-4, Approval of Time and Attendance Reports.
b. Employees engaged in transmitting approved T&A
reports must not change T&A information during transmission without a
record of the change being generated and approved by the supervisor.
c. The deadline for the submitting of T&A reports
to the servicing payroll office is to be established by the servicing payroll
office.
4 FAH-3 H-527 CERTAIN OFFICERS EXEMPT
FROM LEAVE LAWS
(TL:FMP-18; 05-14-2003)
Chiefs of mission, career ambassadors, and other
presidential appointees to executive schedule positions, AID mission directors
of classes 3 and 4, and other AID officers compensated under Section 401 of the
Foreign Service Act of 1980, as amended, are exempted from the leave laws by 5
U.S.C. 6301 and do not accrue or use leave. However, members of the Senior
Foreign Service (SFS) who elect to continue to receive their SFS pay in lieu of
presidential pay remain covered by the leave laws pursuant to 22 U.S.C.
3942(b).
4 FAH-3 H-528 RESTORATION OF FORFEITED
ANNUAL LEAVE
4 FAH-3 H-528.1 Authority
(CT:FMP-71; 04-23-2013)
5 U.S.C. 6304 (d) and (e) authorizes restoration of annual
leave. Rules for restoring annual leave are provided in 3 FAM 3415,
Restoration of Forfeited Annual Leave. The provisions described in this
section apply only to U.S. citizen employees. See 3 FAM 7400, FSN Employee
Attendance and Leave, for discussion of restoration of forfeited annual leave
for Foreign Service Nationals.
4 FAH-3 H-528.2 Authorization of
Restoration
(CT:FMP-71; 04-23-2013)
The designated decision officer (see 3 FAM 3415,
Restoration of Forfeited Annual Leave) must forward the memorandum of approval
to the claimant and a signed copy with documentation to the appropriate payroll
office (CAPPS/Charleston for State employees and the servicing payroll office
for serviced-agency employees). The memorandum of approval should provide the
following information:
(1) Total hours of annual leave restored and authority
for approval;
(2) Date by which the restored annual leave must be
used;
(3) A statement that the payroll office has been
informed that the annual leave has been restored and that a separate account
will be established to record the balance of the restored annual leave; and
(4) A notification that the claimant must inform the
timekeeper whether the annual leave approved for use is to be charged against
the restored annual leave balance.
4 FAH-3 H-528.3 Establishment of
Record of Restored Annual Leave
(TL:FMP-4; 06-15-1995)
When the memorandum of approval, along with supporting documentation
from the decision officer, has been received the payroll office will take the
following actions:
(1) Establish for the claimant a record of the amount
of restored annual leave and the date of forfeiture; and
(2) Reflect the restored annual leave on the
claimants Earnings and Leave Statement in the pay period following
restoration.
4 FAH-3 H-529 shared voluntary leave programs (voluntary leave bank
and VOLUNTARY LEAVE TRANSFER program)
4 FAH-3 H-529.1 Applicability
(CT:FMP-88; 03-17-2015)
This section applies to
Department of State employees who fall within 3 FAM 3312.
4 FAH-3 H-529.2 Definitions
(CT:FMP-88; 03-17-2015)
Several terms are used
throughout this section: leave bank, leave bank member, leave contributor,
leave recipient, and medical emergency. The definitions are contained in 3 FAM 3342.
4 FAH-3 H-529.3 Shared Annual Leave Use
(CT:FMP-88; 03-17-2015)
All accrued annual
leave and sick leave must be used before using shared
annual leave. Shared annual leave
may be substituted retroactively for periods of leave without pay or used to
liquidate indebtedness for advanced annual or sick leave granted on or after
the beginning of the period of the medical emergency. The leave earned by a
full-time employee while in a shared leave
status must not exceed 40 hours of annual or 40 hours of sick leave.
4 FAH-3
H-529.4 Voluntary Leave Transfer
Program
4 FAH-3
H-529.4-1 Authority
(CT:FMP-88; 03-17-2015)
a.
Federal Employees Leave Sharing Act
of 1988 (Public Law 100-566).
b.
The Federal Employees Leave Sharing
Amendments Act of 1993 (Public Law 103-103) (5 U.S.C. 6331-6340).
c.
5 CFR 630, Subpart I.
d.
3
FAM 3340, Shared Voluntary Leave Programs.
4 FAH-3
H-529.4-2 Limitations
(CT:FMP-88; 03-17-2015)
a. Donation of annual
leave may be subject to the limitations in 5 CFR 630.908.
b. Transferred
annual leave may not be:
(1) Transferred to another leave recipient;
(2) Included in a lump-sum payment under 4 FAH-3 H-537,
Lump-Sum Leave Payment; or
(3) Used for any other purpose
other than the medical emergency the leave recipient applied to participate for
per 5 CFR 630.909(a).
4 FAH-3
H-529.4-3 Request to
Contribute Annual Leave
(CT:FMP-88; 03-17-2015)
a. The
employee contributes leave by requesting that a specified number of hours of
accrued annual leave be transferred from the employees annual leave account to
the annual leave account of a specified leave recipient. Employees who wish to contribute annual leave must log
into the Global Employment Management System (GEMS) Employee Self Service (ESS)
and follow the automated instructions to contribute leave within the same
employing agency or to an external Federal employee. The case manager
processes the leave contribution request to the servicing payroll office. A Shared
Leave Program Job Aid has been created to assist
employees when contributing leave through GEMS ESS. Employees who wish to
contribute leave but may not have access to GEMS should contact VLB-VLTPrograms@state.gov to determine the best approach to accept their
submission.
b. Form OPM-630-B, Request
to Donate Annual Leave to Leave Recipient Under the Leave Transfer Program is
completed when employees in other Federal agencies wish to contribute leave to
a Department of State employee. The coordinator of the other agency should
then e-mail Form OPM-630-B to VLB-VLTPrograms@state.gov for processing.
4 FAH-3
H-529.4-4 Recording Annual
Leave Contribution
(CT:FMP-88; 03-17-2015)
The servicing payroll office
records the contribution of annual leave
in the leave contributors leave records.
The number of leave hours contributed by
the employee is deducted from the employees annual leave account and credited
to the recipients leave account.
4 FAH-3
H-529.4-5 Unused Leave Contributions
(CT:FMP-88; 03-17-2015)
If the hours of transferred annual leave remaining when
the medical emergency terminates is equal to or exceeds the number of contributors, restore the hours to the contributors using the following formula: unused hours divided by total hours transferred
times hours each contributor contributed.
If the unused hours are less than the number of contributors,
all remaining hours are voided.
4 FAH-3
H-529.4-6 Leave Transfer
Between Agencies
(CT:FMP-88; 03-17-2015)
When a current leave recipient transfers to another
employing agency without a break in service, any unused contributed annual leave transfers with the
employee to the new agency via Form OPM-630-C, Transfer of Leave Records for Leave Recipient Covered
by the Voluntary Leave Transfer Program (formerly Form SF-1150-A), which
is attached to Form SF-1150, Record of Leave Data.
4 FAH-3
H-529.5 Voluntary Leave Bank Program
4 FAH-3
H-529.5-1 Authority
(CT:FMP-88; 03-17-2015)
a.
Federal Employees Leave Sharing Act
of 1988 (Public Law 100-566).
b.
The Federal Employees Leave Sharing
Amendments Act of 1993 (Public Law 103-103) (5 U.S.C. 6361-6373).
c.
5 CFR 630, Subpart J.
d.
3
FAM 3340, Shared Voluntary Leave Programs.
4 FAH-3
H-529.5-2 Limitations
(CT:FMP-88; 03-17-2015)
a. Contribution of annual
leave may be subject to the limitations in 5 CFR 630.1005.
b. Annual leave withdrawn
from a leave bank may not be:
(1) Included in a
lump-sum payment under 4 FAH-3 H-537, Lump-Sum Leave Payment; or
(2) Used for any other
purpose other than the medical emergency the leave recipient applied to
participate for per 5 CFR 630.1009(a).
4 FAH-3
H-529.5-3 Request to Contribute
Annual Leave
(CT:FMP-88; 03-17-2015)
The employee contributes
leave by requesting that a specified number of hours of accrued annual leave be
transferred from the employees annual leave account to the leave bank or to
the annual leave account of a specific leave bank member. Employees who wish
to contribute annual leave must log into GEMS ESS and follow the automated
instructions to contribute leave. The case manager processes the leave
contribution request to the servicing payroll office. A Shared Leave
Program Job Aid has been created to assist
employees when contributing leave through GEMS ESS. Employees who wish to
contribute leave but may not have access to GEMS should contact VLB-VLTPrograms@state.gov to determine the best approach to accept their
submission.
4 FAH-3
H-529.5-4 Recording Annual Leave
Contribution
(CT:FMP-88; 03-17-2015)
The servicing payroll office
records the contribution of annual leave in the leave contributors leave
records. The number of accrued annual leave hours contributed by the employee
is deducted from the employees annual leave account and credited to the leave
bank or leave bank members leave account.
4 FAH-3
H-529.5-5 Unused Leave Contributions
(CT:FMP-88; 03-17-2015)
If the leave bank member does not use all the hours
that are contributed to cover his or her medical emergency, the remaining hours
will be returned to the leave bank when the medical emergency terminates.