OIG-2, Accessible Version, LAW ENFORCEMENT AVAILABILITY ...

Accessible Version

Office of Inspector General U.S. Government Accountability Office Report Highlights

March 26, 2018

LAW ENFORCEMENT AVAILABILITY PAY:

Premium Pay Compensation Not Supported by Agency Need

Objectives

This report addresses (1) the extent to which agency need, as directed by management or self-identified by a criminal investigator, required Forensic Audits and Investigative Service's (FAIS) criminal investigators to work hours beyond their regularly scheduled 40-hour workweek; and (2) whether criminal investigators met the Law Enforcement Availability Pay (LEAP) Act substantial hours eligibility requirement for receiving LEAP premium pay.

What OIG Found

The LEAP Act of 1994, as amended, established a uniform compensation system for federal criminal investigators who, by the nature of their duties, are often required to work excessive and unusual hours. The LEAP Act authorized a 25 percent increase in base salary as long as specific requirements of the LEAP Act were met. Our analysis shows that GAO may not have a significant need for FAIS investigators to work beyond their regular 40-hour workweek, whether unscheduled (LEAP) or scheduled overtime. Specifically, of the total 4,973 LEAP premium pay hours reported by FAIS criminal investigators, and certified by their managers for fiscal year 2017, we found that 21 percent (1,056 hours) was reported as hours "worked." The remaining 79 percent (3,917 hours) was reported as "hours available to perform unscheduled work." To obtain a complete picture of the agency's need for work beyond a regular 40-hour workweek, we also examined scheduled (overtime) hours and found no overtime hours for fiscal year 2017. We also found that GAO used an incorrect formula for determining compliance with the LEAP premium pay substantial hours eligibility requirement. As a result, five of eight FAIS criminal investigators did not meet the LEAP substantial hours requirement and therefore erroneously certified their eligibility and received LEAP premium pay totaling $79,603.

What OIG Recommends

OIG is making three recommendations intended to ensure that GAO's use of LEAP premium pay is consistent with its investigative needs. Specifically, we recommend GAO evaluate the need for criminal investigators to work or be available to work beyond a 40-hour workweek in support of GAO's investigative needs; modify WEBTA to ensure compliance with the substantial hours requirement for eligibility; and determine whether to cancel LEAP certifications for five criminal investigators and suspend the investigators' entitlement to LEAP premium pay for an appropriate period. In its written comments to the report, GAO agreed with our recommendations and stated that actions are underway to address them.

Letter

OIG-18-2 LEAP Premium Pay

March 26, 2018

To:

Gene L. Dodaro

Comptroller General of the United States

From: Adam R. Trzeciak Inspector General

Subject: Transmittal of Office of Inspector General's (OIG) Audit Report

Attached for your information is our report, Law Enforcement Availability Pay: Premium Pay Compensation Not Supported by Agency Need (OIG-18-2). The audit objectives were to evaluate (1) the extent to which agency need, as directed by management or self-identified by a criminal investigator, required FAIS criminal investigators to work hours beyond their regularly scheduled 40-hour workweek; and (2) whether criminal investigators met the LEAP Act substantial hours eligibility requirement for receiving LEAP premium pay.

The report contains three recommendations intended to ensure that GAO's use of LEAP premium pay is consistent with its investigative needs. GAO agreed with our recommendations and stated that actions are underway to address them. The agency also provided technical comments that we incorporated, as appropriate. Management comments are included in Appendix II of our report. Actions taken in response to our recommendations are expected to be reported to our office within 60 days.

We are sending copies of this report to the Executive Committee, GAO's Congressional Oversight Committees, the Audit Advisory Committee, and select GAO managers, as appropriate. The report is also available on the GAO website at .

If you have questions about this report, please contact me at (202) 512-5748 or trzeciaka@.

Attachment

OIG-18-2 LEAP Premium Pay

Table of Contents LAW ENFORCEMENT AVAILABILITY PAY: ........................................................................ 1 Premium Pay Compensation Not Supported by Agency Need ............................................. 1 Objectives ............................................................................................................................ 1 What OIG Found .................................................................................................................. 1 What OIG Recommends ...................................................................................................... 1 Letter i Introduction .......................................................................................................................... 1 Objectives, Scope, and Methodology ................................................................................... 1 Background .......................................................................................................................... 2 Conclusion ........................................................................................................................... 6 Recommendations for Executive Action ............................................................................... 6 Agency Comments and Our Evaluation ................................................................................ 7 Appendix I: Objectives, Scope, and Methodology ................................................................. 9 Appendix II: Comments from the U.S. Government Accountability Office ........................... 11 Appendix III: OIG Contact and Staff Acknowledgments OIG Contact ................................. 13 Staff Acknowledgments ...................................................................................................... 13 Appendix IV: Report Distribution......................................................................................... 14

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Figure

Figure 1: WEBTA LEAP Hours by Activity for Fiscal Year 2017 ..................................4

Abbreviations

LEAP FAIS OPM

Law Enforcement Availability Pay Forensic Audits and Investigative Service Office of Personnel Management

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Introduction

The Law Enforcement Availability Pay (LEAP) Act of 1994, as amended,1 established a uniform compensation system for federal criminal investigators who, by the nature of their duties, are often required to work excessive and unusual hours. The purpose of LEAP is to provide premium pay to criminal investigators to ensure their availability for unscheduled work in excess of a 40-hour workweek based on the needs of the employing agency. The LEAP Act authorized a 25 percent increase in base salary (LEAP premium pay) as long as specific requirements of the LEAP Act were met. Among these requirements is a condition that criminal investigators maintain an annual average of 2 or more unscheduled duty hours per workday.

Although not a law enforcement agency, GAO employs criminal investigators in its Forensic Audits and Investigative Service (FAIS) team to conduct investigative activities and to manage GAO's FraudNet hotline.2 FAIS is the only GAO team with criminal investigators hired under the U.S. Office of Personnel Management's (OPM) position classification series 1811 who can be eligible to receive LEAP premium pay. During fiscal years 2016 and 2017, GAO employed 8 to 10 criminal investigators authorized to receive LEAP premium pay, and incurred LEAP premium pay costs of $127,136 and $149,026, respectively.

Objectives, Scope, and Methodology

This is our second report related to GAO's implementation of the LEAP Act. Our first report focused on GAO controls over annual certifications required by the LEAP Act.3 This report addresses (1) the extent to which agency need, as directed by management or self-identified by a criminal investigator, required FAIS criminal investigators to work hours beyond their regularly scheduled 40-hour workweek; and (2) whether criminal investigators met the LEAP Act substantial hours eligibility requirement for receiving LEAP premium pay. Our work does not question the investigative function of GAO's mission or whether FAIS criminal investigators performed duties consistent with OPM's position classification series 1811, Criminal Investigator.

To achieve our audit objectives, we reviewed relevant sections of the LEAP Act and corresponding regulations, and GAO's LEAP and overtime policies and procedures. Through interviews and documentation review, we gained an understanding of modifications made to GAO's time and attendance application, WEBTA, including when FAIS criminal investigators and managers began using WEBTA to record, track, and report unscheduled hours (1) worked and (2) available, but not called upon, to perform work.4 We analyzed WEBTA data for fiscal year 2017 to identify the number and category of hours FAIS criminal investigators worked, or reported availability to work, beyond their regular 40-hour workweek. In addition, we obtained an understanding of how WEBTA was used to support annual LEAP certifications.

15 U.S.C. ?5545a. 2U.S. Department of Justice, Office of Justice Programs defines a federal law enforcement agency as an organizational unit, or subunit, of the federal government with the principle functions of prevention, detection, and investigation of crime and the apprehension of alleged offenders. Examples of such agencies include the Federal Bureau of Investigation (FBI) and the Bureau of Alcohol, Tobacco and Firearms (ATF). 3OIG, PREMIUM PAY: Weak Controls Resulted in Noncompliance with the Law Enforcement Availability Pay Act, OIG-15-3 (Washington, D.C.: Sept. 16, 2015). 4FAIS managers began using WEBTA to record their LEAP premium pay hours on April 18, 2016. Band II criminal investigators did not begin reporting LEAP premium pay hours in WEBTA until October 23, 2016.

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