421 FW 1, Organizational Evaluation Criteria

A. Description. Organizational evaluations are evaluations of the effectiveness of an organization in the Washington or Regional Office or field station in administering the program(s) assigned to it, including such management processes as integration of internal and external program and policy issues; organizational representation and liaison; direction and guidance of programs, projects, or policy development; acquisition and administration of financial and material resources; utilization of human resources; and review of implementation and results.

B. Purpose. The purpose of organizational evaluations is to establish a process to ensure that organizations and their programs are managed effectively against established standards, such as Service priority objectives, laws and regulations, management controls, and program policies, procedures, goals, and objectives.

1.2 Evaluation Criteria. The following core elements will be used by evaluation teams to design and plan organizational evaluations. The evaluation team may supplement these criteria with additional areas for analysis to meet other specific purposes. Suggested coverage within these elements can be amended based on the nature and scope of the evaluation.

A. Structure, staffing, workload, and budget; e.g., organization chart and functions; staffing pattern changes; employee training; workload indicators such as logs and subject files; changes in workload; impact of budget changes on organization.

B. Development and availability of policy and guidance; e.g., regulations; Service Manual; Director's Orders; implementing memoranda; option and position papers.

C. Effectiveness in meeting stated goals and planned objectives; e.g., chain of command; goals and objectives; annual accomplishment plans; management systems; layers of management and review; workflow; duplication of effort; timeliness; contacts and purpose of contacts; internal evaluations; impediments to meeting goals.

D. Effectiveness in communicating with Service and Department offices; e.g., types of contacts, purposes, significance, timeliness, effectiveness, and results of communications.

E. Ability to coordinate internal activities with those of other Service and Department offices to meet management requirements; e.g., timeliness, significance, impact on organization.

F. Ability to meet the needs of its customers; e.g., the organization's knowledge of customers and their needs; responsiveness; feedback from customers.

G. Decisionmaking process; e.g., decisionmakers, unnecessary layering, impediments to progress, timeliness, impact, and outcome.

H. Accountability for achieving intended outcomes; e.g., impact and benefits of organization's successes; ramifications of nonachievement.

I. Improved methods of management; e.g., position restructuring, streamlining procedures, elimination of functions, cost savings, consolidation, co-location, and resource sharing.

J. Processes, if required (see 1.4, below), e.g., system operations, workflow, timeliness, impediments.

1.3. Other Criteria. In addition, organizational performance may be assessed by:

A. Verification of Service priority objectives accomplishments through self-reporting, spot-checks, and/or document examination;

B. Management control evaluations conducted under 290 FW;

C. Alternative Program Evaluations required by program authorities, Service policy other than this Part, and the Departmental Manual;

D. Workload accomplishments not covered by Service priority objectives;

E. Comparison of actual program results with performance goals established in the annual performance plan under the Government Performance and Results Act of 1993; and

F. Special evaluations, the criteria for which may be determined by the Director.

1.4 Process Evaluations. An organizational evaluation may include an examination of the processes of an office. See 420 FW 2.1C for additional information.

1.5 Evaluation Schedule. At least one major organization (Regional or Washington Office), one organization within the Washington Office, and one organization within or subordinate to each Regional Office will be scheduled for an organizational evaluation each year. This schedule takes into account alternative evaluations conducted under separate policy or authorities. The implementation of the Government Performance and Results Act may also determine the evaluation schedule. An evaluation begins after the Director has determined the organizations and programs subject to evaluation in the Annual Evaluation Plan.