1220 Page 1 of 32 FOREST SERVICE MANUAL WASHINGTON TITLE 1200 - ORGANIZATION Amendment No. 1200-94-2 Effective August 26, 1994 POSTING NOTICE. Amendments are numbered consecutively by title and calendar year. Post by document name. Remove entire document and replace with this amendment. Retain this transmittal as the first page of this document. The last amendment to this Title was Amendment 1200-94-1 to 1226.11 Exhibit 01. This amendment supersedes Amendment 1200-93-2 to FSM 1220. Superseded New Document Name (Number of Pages) 1220 37 32 Digest: 1224.25a - Incorporates direction on Washington Office organization structure codes, employing office code, accounting station code, and contact point codes. Formerly this direction was in FSH 6209.21, Office Procedures Handbook, sections 134 to 134.5. The list of Washington Office organization structure codes in exhibit 01 to this section is issued as a separate document. There are no substantive changes to the rest of this chapter. JACK WARD THOMAS Chief FSM 1200 - ORGANIZATION WO AMENDMENT 1200-94-2 EFFECTIVE 8/26/94 CHAPTER 1220 - ORGANIZATION AND POSITION MANAGEMENT This chapter establishes policies and standards for assigning and arranging work into manageable units and designing positions within these units. Changes in organization and position structures should be implemented in accordance with other applicable chapters of this title as well as FSM 1300, FSM 6100, and related Handbooks. 1220.2 - Objectives. Organize and arrange work at all levels to achieve Forest Service mission and program goals in the most effective and economical manner. Specific objectives are to: 1. Organize the work to maximize cost effectiveness, efficiency, and established quality and production standards. 2. Distribute work among positions according to amount, kind, difficulty, and responsibility. 3. Design positions to effectively utilize employee skills and provide career development opportunities. 4. Facilitate the flow of communication among organizational units and between various organizational levels. 5. Delegate authority to positions in a manner that enhances service to the public and is consistent with FSM 1231.1. 6. Accommodate changes in program goals, work environment, workload or skill distribution, and new developments in technology, work methods, and management practices. 7. Be responsive to the organization environment, including publics the agency serves. 1220.4 - Responsibility. The Chief has overall responsibility for the organization of the Forest Service. The Deputy Chief for Administration is responsible for providing support to the Chief concerning organization and position management. Line and staff officers are responsible for effective management of the work and people assigned to their organization. 1221 - POSITION MANAGEMENT. Position management is the continuous and systematic process each manager goes through to determine how many positions are needed, how jobs should be designed, and the type of organizational structure that is required to accomplish the functional assignments of the unit. 1221.01 - Authority. Authorities governing position management are set forth in the Federal Personnel Manual and Department Personnel Manual, chapters 312 and 511 (FSH 6109.41 - FPM/DPM 312, 511); and OMB Circular A-64 (Revised July 30, 1980). 1221.02 - Objectives. The overall goal of position management is to yield the best use of personnel resources. Specific objectives in distributing work among positions are to: 1. Prevent an overlap of responsibility or conflict of duties between positions. 2. Group work of similar levels and skills in order to minimize the number of higher grade positions and reduce the requirement for scarce skills. 3. Promote full use of employee skills in making work assignments without regard to employee race, color, national origin, age, religion, sex, disability, familial status, marital status, or political affiliation. 1221.04 - Responsibility. The Deputy Chief for Administration is assigned responsibility for the development, implementation, and operation of the overall Forest Service position management program. 1221.1 - Position Management Plans. Refer to the Department of Agriculture Personnel Manual, chapter 312, subchapter 6 (FSH 6109.41 - DPM 312, subch. 6) for requirements of position management plans and planning systems. Refer to FSM 1311.1 for direction on related work force planning. 1221.2 - Position Management Surveys. Line officers and unit managers shall review their units annually to ensure soundness of organizational structure and accuracy of position descriptions and to plan for the timely accomplishment of needed adjustments (see FSM 6151.4). Field units must submit reports of position management reviews accomplished in accordance with DPM chapter 312, subchapter 4-3 (FSH 6109.41 - DPM 312, subch. 4-3). This report is part of the annual classification review report FSM 6151.4). 1221.3 - Position Management System Standards. All organizational units must establish a position management system designed to meet their particular needs. Each system must: 1. Assign responsibility for organization and position management to line officers. 2. Require line officers and program managers to use support staff trained in the management sciences to help design organizational structures. 3. Assign approval authority for organizational changes to appropriate levels. 4. Establish position authorization, control, and monitoring procedures. 5. Require units to analyze the need for vacant positions before they are refilled. 6. Require units to conduct an annual review of positions and organizations (FSM 6151.4). 7. Require units to use job restructuring and other upward mobility/equal employment opportunity techniques in support of the Forest Service Civil Rights Program. Refer to FSM 1761 for information on Special-Emphasis FSM 1762 for information on the Forest Service Upward Mobility program, Cooperative Education program, and other special programs; and FSM 6134 for direction on Forest Service Mobility program requirements. Refer to FSH 6109.41 - DPM 312 and 511 for direction on position management requirements and systems. 1221.4 - Position Control. (FSH 6109.41 - FPM 312). 1221.41 - Washington Office. Refer to FSH 6209.21, Washington Office Procedures Handbook, section 612 for guidance concerning position control in the Washington Office. 1221.42 - Field Units. Field units may issue appropriate position control procedures at this code. 1221.5 - Ceiling Controls. Refer to FSH 1909.13, Program Development and Budgeting Handbook, section 34.3 for direction about Forest Service full-time equivalent (FTE) ceiling controls. Specific annual FTE ceiling distributions are made in the Program Budget Management Information (PBMI) book issued annually by the Washington Office Program Development and Budget Staff. 1222 - ORGANIZATION OF WORK UNITS. 1222.03 - Policy. Broad policies applicable to the organization of the Forest Service are set forth in FSM 1203. In addition, unit supervisors shall ensure the structure of their organization and proposed organization changes meet the objectives set forth in section 1220.2. 1222.1 - Organization Principles. There is no one best way to organize. Size of the workforce, type of work to be accomplished, managerial style, the role of technology, and the method used to obtain the skills needed to produce the services and products of the unit influence the choice of organization structure. Overall effectiveness and customer satisfaction must be the final determining factor. Organization principles are: 1. Assign responsibility and accountability for all of the products and services the unit is expected to accomplish. 2. Assign authority commensurate with responsibility and accountability. 3. Minimize the number of organizational levels; emphasize delegation and decentralization to the lowest practicable working level. 4. Establish at each level only those positions that are essential to accomplish assigned objectives efficiently. 5. Organize to make maximum use of employee skills and enhance the productivity of the work force. Consider use of alternatives such as Human Resource Programs or contracting where scarce or high cost skills are needed on an intermittent basis. 6. Design positions with consideration of Equal Employment Opportunity and Affirmative Action objectives, and the skill needs of the organization at all levels. 7. Maintain a reasonable span of control for supervisory positions. The number of individuals a supervisor can effectively manage will vary depending on the nature of the work, skill levels of the employees, need for quality control and review, and managerial style. 1222.2 - Basic Structure of Washington Office and Field Units. The Forest Service is organized to conduct four major missions: 1. Manage the National Forest System. 2. Conduct Forest and Range Research. 3. Manage Cooperative Forestry Programs. 4. Manage International Forestry Cooperation and Natural Resource Assistance Programs. The Chief provides overall direction of the Forest Service from the Washington Office. The National Forest System field organization consists of Regions, National Forests, and Ranger Districts. The Research field organization consists of Experiment Stations and the Forest Product Laboratory, plus field laboratories. Cooperative Forestry is included with the National Forest System regional organizations, except for the Northeastern United States where there is a separate State and Private Forestry Area. The International Forestry field organization is included in both the National Forest System and Research field organizations and also includes the separate International Institute for Tropical Forestry in Puerto Rico. Refer to Title 36, Code of Federal Regulations, sections 200.1 and 200.2 (36 CFR 200.1-200.2) for a complete outline of the Forest Service Washington Office and field organizations. 1222.3 - Traditional Organization Structures Defined. 1. Functional Organizations. Functional organizations group similar or related tasks, skills, or occupations within an organizational unit. Examples of functional organizations include consolidating all the budgeting and accounting work in a single organization, or consolidating all the engineering work in a single unit. Benefits of this type of organization include development and maintenance of high levels of expertise, efficiency, and consistency in accomplishing work, and clarity of organizational responsibilities. Drawbacks include increased potential for narrow focus on work that requires multifunctional or interdisciplinary approaches and skills, and less control for managers who have responsibility for cross-functional projects. 2. Program or Interdisciplinary Organizations. In a program organization, a wide variety of skills or occupations needed to accomplish an activity or program are grouped in a single organization unit. Examples of this type of organization might be grouping the organization into broad interdisciplinary units like natural resource management rather then having separate specialized units for timber management activities, range management activities, and so forth. This organizational structure provides strength in program development and coordination, the potential for broader focus on issues, and expanded career opportunity for those who might otherwise be plateaued as functional specialists. Potential drawbacks include loss of functional leadership and expertise, less clear cut paths for functional specialists, and less sharply focused communication paths. 3. Project Organizations. Project organizations are usually set up to complete a specific objective that requires special attention and emphasis over a relatively long period of time. Short-term projects are generally handled by the use of special task forces and do not require permanent organization changes and reassignment of personnel. An example of a project organization might be a 5-year research and development program. Benefits of this type of organization include better project control, potential for improved quality, improvements in morale and coordination among those involved on the project, and accelerated career development of project managers. Drawbacks include more complex internal operations with project and non-project units within the organization, potential inconsistency in application of organizational policy, relatively high costs associated with fully staffing projects, and outplacement of personnel at the project's end. 1222.4 - Developing Organizational Structures. Line officers shall organize their workforce in accordance with principles outlined in FSM 1222.1, budgetary and ceiling constraints, and laws and regulations that guide their work (see FSM 1225.04 for responsibilities; 1225.01 for authorities; and 1222.3 for definitions of types of organization structures). Lean, flexible organizations that are designed to accommodate cyclical functions in workload are generally considered better able to keep up with trends, develop new ideas, and make decisions. Streamlined organizations tend to broaden individual responsibilities and flatten the organizational structure by having fewer levels of management and supervision. Use of Human Resource Programs and contracting should be considered when evaluating workforce management and organizational alternatives. A sample checklist for evaluating or changing an organization structure is shown in exhibit 01. 1222.4 - Exhibit 01 Sample Checklist for Evaluation of an Organization Structure The Work Situation Are the organizational mission and goals clearly defined? Has the responsibility, authority, and accountability for all the major outputs and services of the organization been identified? Have possible changes in the balance of outputs and services been considered? This consideration is to include: (1) Land and Resource Management Plans; (2) Technological changes; (3) Research needs; (4) Employees skills shifts; and (5) other? Does the unit have the ability to collect, maintain, and evaluate management information and to support the required management information systems? Has the expertise needed to accomplish expected quantity and quality of work been provided within the organization? Does the unit have the capability to support or complete work in an interdisciplinary fashion and effectively interact with other Forest Service units, cooperators, and the public? Does the unit have the flexibility to adjust to changes in workload or cyclic functions and maintain operational effectiveness during special situations, including emergencies. The Environment Have the horizontal and vertical communications that link organizational levels been considered? Do the communication paths needed to effectively interact with outside publics and other agencies exist? Have the effects of the proposed change been considered from the perspective of users and the public? The Human Resources Have career ladders been evaluated? Has the skill pool for the future of the organization, including maintaining workforce parity, been considered? Are meaningful jobs being provided to help maintain a motivated workforce? Have grade level implications been reviewed? Does the change require consultation with employee organizations and/or unions? The Managerial and Supervisory Situation Span of control--is the size of the unit compatible with the manager's or supervisor's ability to function effectively? Is the ratio of managerial and supervisory positions to non- supervisory positions workable and appropriate? Is the balance of management work versus "doing" work in managerial positions workable and efficient? Is managerial or supervisory workload distributed in a fashion that helps avoid layers of supervision? Have technical versus managerial requirements of managers and supervisors been assessed? 1223 - STANDARD TITLES AND UNIT NAMES. 1223.03 - Policy. Forest Service policy is to establish and maintain a uniform system of organization titles and unit names. All organization units shall be titled in conformance with the direction on uniform organization titles in FSM 1223.1. Individual positions shall be titled in conformance with Office of Personnel Management position classification titling practices. Unit supervisors may also assign informal working titles to individual positions. Where official organization titles are also used as working titles, their use and definitions must conform with uniform organization title definitions (FSM 1223.1, ex. 01). 1223.04 - Responsibility. 1223.04a - Chief. The Chief reserves the authority to approve changes in the following organization unit and position titles: 1. Washington Office: Deputy Chief and Staff titles. 2. Regions: Deputy Regional Forester, Assistant Regional Forester, and Staff titles. 3. Stations: Assistant Station Director. 4. Area: Assistant Area Director. 5. International Institute for Tropical Forestry: Assistant Directors and Branch titles. 1223.04b - Deputy Chief for Administration. The Deputy Chief for Administration has line officer responsibility for advising the Chief on changes in titles and unit names. The Washington Office Director of Personnel Management has responsibility for recommending and processing title and unit name changes for the Chief's approval. 1223.1 - Assignment of Titles by Type of Position. Select and use titles for positions in accordance with the direction in this section. Individual units may encounter situations requiring modifications to the approved titles. Such modifications require approval by the appropriate line officer (FSM 1223.04). 1. Associate. Use only for Associate Chief and Associate Deputy Chief. 2. Deputy. Use only for full alter ego positions which are vested with all the delegated authority and responsibility of their supervisors for the area of work assigned to them. Deputy Chiefs are considered full alter ego positions only for the area of work assigned to them. A Deputy position may be established when the nondelegable workload exceeds 1 person-year. Only the Chief, Regional Foresters, and Station Directors may have more than one Deputy. Deputy titles must include the title of the supervisor, such as Deputy Chief for Research, Deputy Director of Timber Management, or Deputy Forest Supervisor. 3. Assistant. Use only for positions to which a supervisor has formally delegated part of the supervisor's authority and responsibility (see para. 5 for Staff Assistant). The need for assistant positions generally arises when the type or volume of work suggests grouping subordinate units or positions under one intermediate supervisor, or when the coordination and/or accomplishment of work will be improved through a reduced span of control. Assistant titles should name the assigned portion of the individual's responsibility, such as Assistant Director for Fire Management, or Assistant Station Director for Research Support Services. 4. Assistant for. A position reporting to a Deputy Chief, Deputy Regional Forester, Assistant Station Director, Institute Director, or Area Director, or higher level position. Responsibility normally involves coordination between and or among numerous organizational units. The title should specify the nature of responsibility assigned, such as Assistant for Systems Coordination. 5. Staff Assistant. A Staff Assistant reports to a Staff Director or to a higher level position. Generally such positions provide general administrative or specialized support to their supervisors and are justified on the basis of unit need and workload. Titles may simply be Staff Assistant, or may specify the appropriate organizational unit or supervisor, such as Staff Assistant, National Forest System, or Staff Assistant to the Director of Engineering. 6. Staff Director. Use this title only at Washington Office, Region, and Area levels for a position reporting to a Deputy Chief, Associate Deputy Chief, Deputy Regional Forester, or Assistant Area Director. The title may also be used for the head of a staff office reporting directly to the Chief or Regional Forester. For example, in the Washington Office, the Director of the Public Affairs Office reports directly to the Chief. A Staff Director supervises Staff Assistants, Group Leaders, Branch Chiefs, or specialists. The Staff Director may be supported by a single Deputy Director, one or more Assistant Directors, or a combination of both. The title should specify assignment of responsibility, such as Director of Engineering. 7. Staff Officer. A Staff Officer is a primary National Forest staff member reporting to a Forest Supervisor, such as (1) Recreation Staff Officer or (2) Program Officer for Resources (in National Forest program organizations). In a functional National Forest organization, traditional titles, such as Forest Engineer, may be substituted. 8. Branch Chief or Group Leader. Use these titles only at the Washington Office, Region, Area, Station, or Institute level for a position assigned responsibility for functions or activities assigned to a Group or Branch. The title Branch Chief must be used in the Washington Office. This position supervises Section Heads and/or specialists. The title should describe the assigned work, such as Leader, Contracting Group or Chief, Contracting Branch. 9. Section Head. Use this title for a position that reports to a Group Leader or Staff Officer and is responsible for tasks and activities assigned to the section. A Section Head supervises subordinate specialists. The title should describe the assigned work, such as Head, Office Services Section. 10. Specialist or Officer. Use the title Specialist or Officer for professional, technical, or scientific positions, such as Administrative Officer, Energy Specialist, or Law Enforcement Officer. Also, use the civil service classification series title or an assigned working title which is descriptive of a position's responsibility, such as Soil Scientist, Forester, Silviculturist, or Directive Manager. 11. Project Leader. Use this title for a position assigned responsibility for a Research Work Unit and reporting to an Assistant Station Director for Research. For ease of reference, exhibit 01 displays the position titles of the individuals in charge of each unit approved for use in the Forest Service. 1223.1 - Exhibit 01 Unit Names and Position Titles Approved for Use in the Forest Service Organizational Unit Authorized Unit Approved Position Title Washington Office Office of the Chief Chief Associate Chief Office of the Deputy Chief for Deputy Chief ___________________ Associate Deputy Chief for ____________ for __________ Staff Director of ___________________ Deputy Director of ___________________ Assistant Director for ___________________ Branch Chief,_________Branch Section Head,_________Section Region Office of the Regional Forester Regional Forester Deputy Regional Forester for __________ Staff Director or Director of__________ Assistant Regional Assistant Regional Forester Forester for__________ Deputy Director of ___________________ Deputy Assistant Regional Forester for __________ Assistant Director for __________ Group or Branch Leader,__________ Group Chief,__________ Branch Section Head, __________Section Station Office of the Station Director Station Director Deputy Station Director Assistant Station Director for__________ Research and Program Manager Development Program Pioneering Research Pioneering Research Work Unit Scientist Group or Branch Leader, __________ Group Chief, __________ Branch Section Head, __________ Section Research Work Project Leader,_________ Unit Principal _______________ Area Office of the Area Area Director Director Assistant Area Director for __________________ Group or Branch Leader, __________Group Chief, __________ Branch Section Head, __________ Section Forest National Forest Forest Supervisor Deputy Forest Supervisor ________________ Program Officer (for program organizations only) Staff __________ Staff Officer Section Head, __________ Section District Ranger District District Ranger Job Corps Civillian Center Director Conservation Center National Recreation Area Ranger Area Nursery Nursery Superintendent 1223.2 - Authorized Unit Names. In referring to organizational levels and units within the Forest Service, use those names displayed in exhibit 01, FSM 1223.1. 1224 - DOCUMENTATION REQUIREMENTS. 1224.1 - Organization Charts. An organization chart shows the major responsibilities of individuals or groups in an organization and the lines of authority among those individuals or groups. Each organizational unit shown on the organization chart shall contain the official or proposed organization unit title and organization code assigned according to the coding scheme in 1224.25. Exhibits 01 to 03 in FSM 1224.12 depict various models that may be used as guides for preparing organization charts for specific units. 1224.11 - Levels at Which Organization Charts Are Required. Each of the following units must prepare and maintain a current organization chart for the subunits listed: 1. Washington Office a. Office of the Chief and overall Forest Service chart. b. Each Staff, depicting Branches and Special Assistants or functions managed by positions at GM-14 and above reporting to the Staff Director. 2. Regions a. Office of Regional Forester, including all units at the Staff level and above, which report to the Regional Forester. b. Each Staff. c. Each Group or Branch (may be depicted on Staff chart). 3. Stations a. Office of Station Director, including Forest Products Laboratory, Research and Development Projects, Research Development and Application Projects, and Pioneering Research Work Units. b. Each Research Work Unit. 4. Area. Office of Area Director. 5. Institute. Office of Institute Director. 6. National Forests. Each Forest Supervisor's Office. 7. Ranger Districts and Comparable Units. Each Ranger District, Job Corps Civilian Conservation Center, nursery, or other comparable unit. 1224.12 - Typical Charts. Typical organization charts for various units are shown in exhibits 01 - 03. Organizations vary with workload and other conditions; therefore, consider the charts as typical examples, but not as exact representations. Note also that these exhibits have been keyboarded to make them electronically available, and the format may differ from the appearance of the original, signed paper copies of the organization charts. 1224.12 - EXHIBITS 01 AND 02 IS A SEPARATE DOCUMENT. 1224.12 - Exhibit 03 Northeastern Area State and Private Forestry Organization Chart U.S. DEPARTMENT OF AGRICULTURE RECOMMENDED: /s/ Thomas N. Schenarts FOREST SERVICE Director NORTHEASTERN AREA for STATE & PRIVATE FORESTRY APPROVED: /s/ Allan J. West Deputy Chief, State & Private Forestry APPROVED: /s/ Jerome A. Miles Deputy Chief, Administration DATE: 2/11/85 Information Office OFFICE OF THE AREA DIRECTOR Planning Staff 11 42 000 001 ---- ---------------- ---- 11 42 00 0002 DEPUTY DIRECTOR 11 42 DIRECTOR Grey Towers & Pinchot Instiitute 11 42 51 ASSISTANT DIRECTOR Forest Management & Utilizaton 11 42 52 ASSISTANT DIRECTOR Forest Pest Management 11 42 53 ASSISTANT DIRECTOR Cooperative Fire Protection 11 42 54 ASSISTANT DIRECTOR Support Services 11 42 57 1224.2 - Organization Structure Codes. The External Procedures, Title I: Payroll/Personnel Processing Manual issued by the National Finance Center (NFC) (FSM 6107, 6108) requires the assignment and use of organization structure codes. 1224.21 - Objective. To provide identification of the locations and levels of individual Forest Service organization entities by establishing and maintaining a system of standard organization structure codes for use by the Forest Service, the National Finance Center (NFC), and other Department offices. 1224.22 - Policy. Ensure that each separate organizational entity in the Forest Service is assigned an organization structure code in accordance with the requirements in this chapter and the NFC External Procedures, Title I: Payroll/Personnel Processing Manual. Display organization structure codes on organization charts, along with the official unit title. 1224.23 - Responsibility. 1224.23a - Director, Personnel Management Staff, Washington Office. The Director of Personnel Management, Washington Office, is responsible for: 1. Developing and maintaining the basic organization structure coding system. 2. Establishing, maintaining, and updating the service-wide Forest Service organization table in the Washington Office Integrated Database (IDB) based on organization information provided by Regions, Stations, Area, and Institute; and providing revisions to the Director, Information Systems and Technology Staff in table format. 1224.23b - Director, Information Systems and Technology Staff, Washington Office. The Washington Office Director of Information Systems and Technology is responsible for ensuring that the revisions of the Forest Service organization table are periodically updated and distributed to all Forest Service units. 1224.23c - Regional Foresters, Station Directors, Area Director, and Institute Director. Regional Foresters, Station Directors, Area Director, and Institute Director are responsible for developing and maintaining supplemental codes to the basic system of organization structure codes for approved organization structures; and issuing supplements to FSM 1224.25b. Provide copies of supplements to the Washington Office, Director of Information Systems and Technology and the Director of Personnel Management (FSM 1130.43). 1224.24 - Establishing or Changing Organization Structure Codes. To establish, change, or delete organization structure codes from the organization table at the National Finance Center (NFC), employing offices shall complete Form NFCTABLE005 (available electronically), transmit the form to NFC, and simultaneously transmit a copy to the Washington Office, Personnel Management Staff (PM:W01B). The Washington Office, Personnel Management Staff, Work Force Management and Systems Branch, updates the Forest Service organization table so it is consistent with the table at NFC. 1224.25 - Coding Scheme. Organization structure codes contain up to eight fields or levels, each representing a Forest Service organizational level. Each code consists of two digits, except the fourth level, which has four digits. Specific codes are assigned for the first two levels and a range of codes (such as 01-49) is assigned for the remaining levels, as follows: 1. First Level. Agency code for the Forest Service: (11) 2. Second Level. a. Regional Offices: R-1 (01); R-2 (02); R-3 (03); R-4 (04); R-5 (05); R-6 (06); R-8 (08); R-9 (09); R-10 (10). b. Research Stations: Intermountain (22); North Central (23); Northeastern (24); Pacific Northwest (26); Pacific Southwest (27); Rocky Mountain (28); Southeastern (29); Southern (30); Forest Products Laboratory (32). c. International Institute of Tropical Forestry (41). d. Northeastern Area (42). e. Office of the Chief (50). f. Washington Office, Deputy Chief Offices: Administration (51); National Forest System (52); International Forestry (53); Programs and Legislation (54); Research (55); State and Private Forestry (56). 3. Third Level. a. National Forests and equivalent administrative units reporting directly to the Office of the Regional Forester (01-49). Codes for Forests must be the same as codes established for accounting purposes. b. Office of Deputy Regional Foresters; Office of Assistant Station Directors; Pioneering Research, and Research & Development Program Units reporting directly to Station Directors; Office of the Assistant Area Directors; and units headed by Assistant Directors reporting to the Office of the Director, International Institute of Tropical Forestry (51-99). c. Washington Office Staff Units, and equivalent special offices or units reporting directly to the Office of the Chief or a Deputy Chief's Office (01-49). d. Regional Staff units and equivalent administrative units reporting to the Office of the Regional Forester, which shall be coded (00) for the third level, and assigned a fourth level code. 4. Fourth Level. Use a four-digit code (0001-9999) for the following units: a. Ranger Districts, Nurseries, Job Corps Centers, and other National Forest subunits reporting directly to a Forest Supervisor's Office. Codes for Ranger Districts must be the same as codes established for accounting purposes. b. Staff units and equivalent administrative offices reporting to Deputy Regional Foresters. c. Branches or Groups under Assistant Station Directors for Administration. d. Research Work Units (RWU). Include the RWU number with each RWU name. e. Units headed by or Offices of Assistant Directors, or Branches reporting directly to Washington Office Staff Directors. f. Staff units and offices reporting directly to Regional Foresters. g. Staff Units reporting to Forest Supervisors, which shall be assigned four zeros (0000) for the fourth level and given a fifth level code. 5. Fifth Level. Use a two-digit code (01-99) for the following units: a. Sections or Branches in the Washington Office, Regions, and Stations which report directly to a fourth level organization. b. National Forest functional staff units and program units, and Offices of Assistant Forest Supervisors reporting to Forest Supervisors. c. Formally established sections within Ranger Districts. 6. Sixth, Seventh, and Eighth Levels. Use a two-digit code (01-99) as necessary to meet local needs. Limit use to formally established subunits. 1224.25a - Washington Office Organization Structure Codes. The External Procedures, Title I: Payroll/Personnel Processing Manual issued by the National Finance Center (NFC) (FSM 6107.2) requires the assignment and use of the following four types of codes (FSM 1224.2): 1. Organization Structure Codes. Following are the steps and responsibilities in the Washington Office for correcting, changing, or assigning new organization structure codes: Action by Action Staff Director 1. Notifies Personnel Management Staff, Work Force Management and Systems Branch, of need to correct, change, or assign new organization structure codes. This may be submitted as part of a reorganization request (FSM 1225.2). Personnel Management Staff 2. Includes code changes on new or revised organization chart and on functional statement, if applicable. 3. Assigns new codes as needed to qualified organizational units down through section level, but not to Deputies, Assistants, or specialists. 4. Prepares Form FS-1100- 2, Directive Amendment or Supplement Processing Request, and drafts the amendment to update the Washington Office code list in exhibit 01 to this section. 5. Notifies the National Finance Center to change the Position Organization Listing (POL), effective with the new pay period in which the personnel action becomes effective. 2. Washington Office Employing Office Code. Unit and Title of Officer Code Mailing Address in Charge Telephone No. 50-26 Washington Office Personnel 703-235-8102 Forest Service,USDA Staffing Personnel Management Specialist Staff P.O. Box 96090 Washington, D.C. 20090-6090 3. Washington Office Accounting Station Code. Code: 13-01 Address: Forest Service, USDA Fiscal and Accounting Services Staff Accounting Services Branch P.O. Box 96090 Washington, D.C. 20090-6090 Phone: 703-235-3282 4. Washington Office Contact Point Codes. These codes are maintained by the Personnel Management Staff, Staffing Branch. Agency State Town Unit Timekeeper 11 11 0010 01 xx 1224.25a - EXHIBIT 01 IS A SEPARATE DOCUMENT. 1224.25b - Field Unit Organization Codes. Regional Foresters, Station Directors, Area Director, and Institute Director should issue supplements under this section for their organization structure codes (FSM 1224.23c). Use the sample format displayed in exhibit 01 for field supplements containing organization structure codes. Limit the content of supplements to the information shown in the sample format; use exactly the same format and spacing to maintain uniformity. Unit organization codes and unit names included in supplements are limited to official, approved organization structures established in accordance with FSM 1225. 1224.25b - Exhibit 01 Sample Format for Field Supplements Containing Organization Structure Codes Code by ORGANIZATION STRUCTURE Organization Levels Forest Service Region 1 1 2 3 4 5 6 7 8 11 Forest Service 11 01 Northern Region (R1) 11 01 04 Idaho Panhandle National Forest 11 01 04 0000 01 Resource Coordination 11 01 04 0001 Wallace Ranger District 11 01 04 0002 Avery Ranger District 11 01 04 0002 01 Fire Control 11 01 15 Lewis & Clark National Forest 11 01 15 0000 01 Administration 11 01 15 0001 Rocky Mountain Ranger District 11 01 00 0005 Engineering Staff 11 01 00 0001 01 Transportation Systems Engineering 11 01 00 0001 01 01 Transportation Planning 11 01 16 Lolo National Forest 11 01 16 0000 02 Administrative Support 11 01 16 0000 02 01 Information Systems 11 01 16 0000 03 Technical Services 11 01 16 0003 Missoula Ranger District 11 01 16 0003 01 Business Management 1225 - APPROVAL OF ORGANIZATIONAL CHANGES. 1225.01 - Authority. Department Regulation 1010-1 (DR 1010-1) prescribes the policy and procedure for obtaining approval of organizational changes and required documentation. DR 1010-1 requires Departmental approval of those organizational changes which involve the following actions: 1. Establishment or abolishment of any Forest Service Washington Office unit down to and including Washington Office Staff Units; this includes title changes for Washington Office Staff Units. 2. Establishment or abolishment of any unit which reports directly to the Chief of the Forest Service (Region, Station, Area, Institute, and Forest Products Laboratory). 3. Change in the Regional boundary of a Region, Station, Area, or Institute, or the establishment, abolishment, or transfer of any Regional, Station, Area, or Institute headquarters office (FSM 1241.01). 4. Establishment or abolishment of a major Forest Service program or administrative function. 5. Other actions that the Department feels will have significant impacts on Forest Service employees or the public such as relocation or transfer of a facility or activity affecting 10 or more FTE employees. 1225.03 - Policy. In considering and seeking changes in the organization of the Forest Service, the responsible agency officials (FSM 1225.04) shall: 1. Apply the procedures prescribed for Departmental approvals (FSM 1225.2) to all Forest Service reorganization approval requests, whether or not Departmental approval is required. 2. Inform employees and union representatives as applicable that a change is being considered. Do not announce any organizational change to employees or the public prior to official approval. Official approval is documented by appropriate signatures on the new organization chart. Any statement about a pending organizational change made prior to official approval must clearly indicate that no decision has been reached. After official approval has been obtained for organization changes, the responsible agency officials shall follow the direction on implementation of organizational changes in FSM 1226. 1225.04 - Responsibility. 1225.04a - Chief. The Chief reserves authority to approve the following: 1. Establishment or abolishment of a unit or the gain or loss of a function or activity by: a. The Office of a Deputy Regional Forester, Assistant Regional Forester, or a Staff Office in a Region, and equivalent level units. b. Office of an Assistant Director, Northeastern Area or International Institute of Tropical Forestry. c. Research Development and Application (RD&A) Programs, and Research and Development (R&D) Programs involving more than one Deputy Area (FSM 4070). 2. Establishment or change of any Staff unit or Office that reports directly to a the Office of a Deputy Chief, Regional Forester, Station Director, Area Director, Institute Director, or the Offices of their Deputies. 3. Consolidation, creation, or abolishment of Ranger Districts and National Forest administrative units and related sites and areas (FSM 1242). For direction on changes within the Washington Office, see FSH 6209.21, section 121. 1225.04b - Deputy Chief for Administration. The Deputy Chief for Administration is responsible for developing and implementing of the process for review and recommending approval of organization changes by the Chief. The Deputy Chief may approve organization changes that do not require approval of the Department to implement (DR 1010) within Washington Office Staff units or at the Staff or equivalent level for field units. 1225.04c - Deputy Chiefs. Each Deputy Chief has authority to approve establishment of or changes within Branch organizations of Staffs assigned to that Deputy. 1225.04d - Director, Personnel Management Staff, Washington Office . The Director, Washington Office Personnel Management Staff has responsibility for reviewing, recommending, and processing organizational approval requests for the Department's or the Chief's approval. 1225.04e - Regional Foresters, Station Directors, Area Director, and Institute Director. Regional Foresters, Station Directors, Area Director, and Institute Director have authority to approve all organizational changes within their Region, Station, Area, or Institute, except those requiring Departmental approval (FSM 1225.01) or Chief's approval (FSM 1225.04a). These officers should issue policy and procedures for obtaining organizational approval within their authority. 1225.05 - Definitions. Functional Statement. A narrative statement listing specific functions, responsibilities, duties, and activities assigned to a specific unit (FSM 1225.23). Major Function or Activity. A program effort that is one of the basic purposes for the existence of the Forest Service, such as timber management, or a basic area of management, such as information systems. Organization Chart. A graphic representation of an organization's structure showing the chain of command (FSM 1230.6) and hierarchy of units or personnel (FSM 1225.22), official unit names and organization structure codes. Organization Proposal. A formal proposal for organizational change prepared in the format prescribed in FSM 1225.2. Organization Structure Code. A National Finance Center code number assigned to each officially recognized organizational unit, down through the section level, composed of numerical fields identifying each level (FSM 1224.2). Organizational Change. The establishment, discontinuance, or transfer of functions or areas of responsibility, including geographic assignments of responsibility, within a unit or among units. Reassignment of currently performed duties among individual positions in the same unit is not considered an organizational change. Staffing Pattern. A listing of budgeted, current, and proposed positions by title and grade, and organization unit (FSM 1225.24). Unit. An organizational entity or component. 1225.1 - Changes Requiring Approval. See FSM 1225.01 for actions requiring Departmental approval. See FSM 1225.04 for approval requirements for other organizational changes. See FSM 1241 for direction on facility location changes; FSM 1242 for direction on changing the names of administrative units; and FSM 1243 for direction on changing the geographical location of units. 1225.2 - Documentation and Procedures for Obtaining Approval. Submit organization proposals in duplicate to the Chief if the proposal requires either Department or Chief's approval (FSM 1225.01 and FSM 1225.04a). If the proposal also includes facility location (FSM 1241) and/or geographic changes in boundaries (FSM 1243; FSM 1730; FSH 1709.11, ch. 30), incorporate those proposals in the document as well. An organization proposal should consist of the material listed in the following paragraphs 1 through 5; include the material listed in paragraphs 6 through 8 as appropriate. 1. Narrative explanation of the proposal (FSM 1225.21), 2. Proposed organization chart (FSM 1225.22), 3. Current organization chart, 4. Functional statement(s) (FSM 1225.23), 5. Present and proposed staffing patterns (FSM 1225.24), and, if appropriate, 6. Documentation of GM/GS-14's and above (FSM 1225.25), 7. Geographic boundary maps, and 8. Other pertinent documentation (FSM 1225.26). 1225.21 - Narrative Proposal. An organization proposal should address the following subjects, with each subject listed by title: 1. Introduction. Describe the changes being proposed and the factors making the change necessary. Define the problem. 2. Alternatives. List alternatives considered, present an analysis of the alternatives, and give the recommended alternative, including the rationale for selection. See FSM 1222.3 for a sample structure and FSM 1222.1 for organization principles. For organizational and facility location proposals, include alternatives that analyze co-location, shared services, and consolidation possibilities. For changes affecting 10 or more permanent employees, include the civil rights impact statement documenting the required civil rights impact analysis (FSM 1730; FSH 1709.11, ch. 30). 3. Program Accomplishment. Describe the effect of the proposed changes on program accomplishment. 4. Costs. Describe the one-time and recurring costs required to implement the proposed change. 5. Staffing. Describe the effect of the proposed change on personnel staffing, including impacts on minorities and females. Include the present and proposed levels of staffing for the unit being reorganized. Describe how the proposed change will impact grade levels and employment ceilings. See FSM 1225.24 for staffing pattern requirements. 6. Delegations of Authority. Describe any changes in delegated authorities that will result from the proposed change. 1225.22 - Proposed Organization Charts. When requesting reorganization approval, a proposal must include a proposed organization chart prepared as follows: 1. Washington Office. Prepare a chart of the proposed organization and process it in accordance with instructions in FSH 6209.21, Washington Office, Office Procedures Handbook, sections 120-124. 2. Regions, Stations, and Area. Prepare an organization chart in block style, depicting the proposed organization as shown in exhibit 01, FSM 1225.27. Enter the organizational structure code (FSM 1224.25) for each unit reporting to the Office of a Regional Forester, Station Director, Area Director, Institute Director, Deputy, or Assistant. The Regional Forester, Station Director, Area Director, or Institute Director must sign the proposed chart as the recommending official. After approval by the Chief, the Washington Office will return copies of the chart for duplicating and distribution. 3. Other Units. Submit organization charts as needed to explain or document the proposal. 1225.23 - Functional Statements. 1225.23a - Washington Office, Regions, Stations, Area, and Institute. Prepare functional statements for all organizational units reporting to the Office of Associate Deputy Chiefs or higher levels in the Washington Office, and for all units reporting to the Office of Regional Foresters, Deputy Regional Foresters, Station Directors, Assistant Station Directors, the Area Director, Assistant Area Directors, and Institute Director. 1. Format. The format of functional statements is shown in exhibit 02, FSM 1225.27. Show the organizational structure code (FSM 1224.25) for the unit in the heading and in the lower right corner. The code cross-references the functional statement to a specific block on the organization chart. 2. Headings. Use the following headings, as appropriate, for entering information on the functional statement: a. General. Use this heading only if it is necessary to provide information concerning a unit that cannot be appropriately listed under assignment of functions. b. Assignment of Functions. Use this heading in preparing functional statements for every unit. Describe the work for which the unit is responsible in as clear and concise a manner as possible. Describe the functions assigned to the unit in numbered statements. Group similar functions into one statement. Do not title the statements. 1225.23b - Other Units. Submit functional statements as needed to explain or document a proposal. 1225.24 - Staffing Patterns. Describe present and proposed staffing for permanent positions using the staffing pattern worksheet format shown in exhibit 03, FSM 1225.27. Permanent positions are defined for staffing pattern purposes as those occupied or to be occupied by employees with permanent appointments who have substantially full-time tours of duty. List present and proposed positions on the staffing pattern worksheet. Use a separate entry for each unit involved in the reorganization being proposed. Show GM/GS-14 and above positions individually by title. Group GS-12 and GM/GS-13 positions by title and grade level. All other permanent positions, GS-11 and below, may be grouped into a one-line entry. Under the heading of "Present Organization" on the worksheet, list the budgeted positions and related costs for the current fiscal year. If no budget has been approved for the current fiscal year, use the latest approved budget. Under the heading "Proposed Positions," list those positions which will be budgeted for the first fiscal year in which the reorganization will be fully implemented. 1225.25 - Documentation for GM/GS-14's and Above. Submit position descriptions for all GM/GS-14 and above positions affected by organization changes. Position descriptions are considered part of the organizational proposal. 1225.26 - Other Supplemental Information. Submit any other information or material which helps clarify the reason for the proposed organization change, such as: 1. Studies, reviews, or surveys that prompted or were influential in the development of the proposed changes. 2. Legislation, Executive Orders, Secretary's memorandums, or other official documents related to the proposed change. 3. Information concerning functional assignments or geographical areas of responsibility. 4. Discussion of factors that would attract public interest as a result of any organization change, including any relocation or elimination of positions, offices, and so forth. 1225.27 - Examples of Required Documentation. Exhibits 01, 02, and 03 are examples of an organization chart, a functional statement, and a staffing pattern worksheet required for those organization proposals that must be submitted to the Washington Office for approval. 1225.27 - EXHIBIT 01 IS A SEPARATE DOCUMENT. 1225.27 - Exhibit 02 Examples of Functional Statements for Positions UNITED STATES DEPARTMENT OF AGRICULTURE FOREST SERVICE - INTERNATIONAL INSTITUTE OF TROPICAL FORESTRY 11-41 Office of the Director, International Institute of Tropical Forestry General The Director of the Institute has line authority and responsibility for directing all programs and assignments at the Institute. This includes responsibility for developing and conducting international programs of research and technology transfer in tropical forestry for international customers. These programs are directed toward managing and conserving tropical forest resources and improving the capabilities of other institutions in Puerto Rico and Latin America to carry out sound research and forest management programs. Assignment of Functions 1. Participates with the Chief of the Forest Service, members of the Chief's staff, Regional Foresters, Station Director and the Area Director in formulating Service-wide policy. 2. Formulates policies for the International Institute of Tropical Forestry within the framework of those of the Forest Service. 3. Directs research, international cooperation, education, technology transfer, and forest land management advisory programs of the International Institute of Tropical Forestry. 4. Initiates major outreach efforts with tropical American governments natural resource organizations, and research organizations of the Americas to accomplish the mission of the Institute. 5. Maintains liaison with other international organizations, the Deputy Chief for International Forestry, Regional Foresters, and Station Directors. 6. Serves as an advisor to international cooperators and takes the lead in convening and communicating priorities for the Committee of Customers and Cooperators. 7. Serves as chief spokesperson for the Forest Service in Puerto Rico, and for the Deputy Chief for International Forestry in matters relating to tropical forestry. 8. Set priorities for the research, education and international cooperation programs of the Institute, including budgets and related resources. 11 41 51 Office of the Assistant Director for International Cooperation International Institute of Tropical Forestry General The Assistant Director for International Cooperation has responsibility for directing all technology transfer at the Institute. This includes responsibility for developing and conducting international training programs, short courses, demonstration projects, and technical assistance assignments. These programs are directed toward building the administrative and managerial capabilities of resources managers in the tropics. The Assistant Director shares responsibility for and participates in the coordination of all technical and administrative functions of the Institute. Assignment of Functions 1. Primary responsibility for coordinating, directing and conducting technology transfer, state and private programs for the Institute. 2. Plan and assist in the development and implementation of demonstration sites. 3. Cooperate with the State Forester and the Government of Puerto Rico to strengthen joint programs utilizing IITF facilities and Commonwealth lands. 4. Assist in identifying priorities for research. 1225.27 - EXHIBIT 03 IS A SEPARATE DOCUMENT. 1226 - IMPLEMENTATION OF ORGANIZATIONAL CHANGES. 1226.03 - Policy. Upon approval of organizational changes: 1. Notify affected employees and other units of the approval and provide any necessary instructions and timeframes for implementing the changes. 2. Revise direction in affected series, titles, chapters, and sections of the Forest Service Manual and Handbook to reflect new position titles, unit names, lines of authority, and assignment of responsibility. Wherever possible, combine such changes with other needed amendments to achieve cost efficiencies. However, issue all such amendments within 1 year of approval of organizational changes. 3. Notify and involve union representatives in impacts and implementation to the extent required by written labor management agreements. The lines of authority and assignment of responsibility embodied in approved organizational changes are in effect upon the responsible line officer's official notice of implementation to affected employees. Because of the time it takes to issue these changes in the directive system, there will be discrepancies between the approved changes and the assignment of responsibility in the directive system. Such discrepancies do not excuse personnel from operating under the approved changes or from carrying out new responsibilities and assignments in accordance with the approved changes. 1226.04 - Responsibility. The line officer who heads the unit or organizational level receiving approval of organizational changes is responsible for ensuring implementation of the reorganization. 1226.1 - Current Organization of Forest Service Units. In addition to amending direction throughout the directive system to reflect organizational changes, the responsible line officer at the Washington Office, Regional, Station, Area, Institute, and Forest levels shall promptly document major approved organizational changes at the appropriate code in this section. Display of the approved organization chart(s) meets this requirement. Do not include at these codes charts that document realignment of responsibilities within a single staff unit. 1226.11 - Washington Office Organization. Exhibit 01 illustrates the current Washington Office organization. 1226.11 - EXHIBIT 01 IS A SEPARATE DOCUMENT. 1226.12 - Region, Station, Area, and Institute Organization. Regional Foresters, Station Directors, Area Director, and Institute Director shall document major new organizational changes at this code. 1226.13 - National Forest Organization. Forest Supervisors shall promptly document approved changes in organizational structures at this code.