020 FW 1, Policy, Planning and Responsibilities

FWM#:     258 (replaces FWM 198, 6/20/95)
Date:        June 17, 1996
Series:      Organization and History
Part 020:  Organizational Management
Originating Office: Division of Policy and Directives Management

1.1 Purpose. This chapter defines the policy, requirements, planning and responsibilities which govern the management of organizational structures throughout the Service.

1.2 Policy.

A. Organizational planning within the Service must adhere to the policy and procedure set forth in this chapter (020 FW 1). Organizational planning is the process by which the Service identifies its structures, determines placement of functions within those structures, and determines the allocation of staff and other resources among the functional entities which comprise its organization.

B. Organizational structures will be established and maintained to provide a framework of control and to delineate levels of responsibility required to accomplish the Service's goals and objectives. Standards for organizational structures are contained in 020 FW 2.

C. Organizational principles are based on effectiveness and efficiency with specific attention given to the following factors:

(1) Ability to carry out program objectives and associated tasks in cooperation with other Federal agencies and with State and local governments, including Native American governments;

(2) Appropriate span of control;

(3) Elimination of unnecessary organizational fragmentation, excessive layering of positions and dilution of grade controlling duties;

(4) Effective channels of communication;

(5) Ability to maintain accountability for program and administrative operations at the appropriate hierarchical level;

(6) Ability to provide high quality goods and services to the Service's internal and external customers;

(7) Impact on the morale, well-being, and productivity of personnel;

(8) Adherence to personnel management practices; and

(9) Cost effectiveness.

D. Organization changes will be requested and approved in accordance with the procedures contained in 020 FW 3.

1.3 Federal Requirements.

A. Regional Organization. OMB Circular A-105 requires that field organizational structures comply with Standard Federal Region boundaries, sub-boundaries, and headquarters cities. Any proposed departures from these requirements must be approved by OMB, however, a number of specific exceptions have been pre-approved by OMB for the Department as follows:

(1) If a bureau or office has no significant program operations in a geographic region, no organizational structure for that region is necessary; e.g. the Bureau of Reclamation needs no eastern regions.

(2) The following combinations of Standard Federal Regions are pre-approved: Region I (Boston) with Region II (New York), Region VII (Kansas City) with Region VIII (Denver), and Region IX (San Francisco) with Region X (Seattle).

(3) In addition, establishing Alaska as a separate region is pre-approved, as well as administering Puerto Rico and the Virgin Islands as part of Region IV (Atlanta) rather than Region II (New York).

(4) The following alternative headquarters cities are pre-approved: Albuquerque instead of Dallas-Ft. Worth in Region VI, Omaha instead of Kansas City in Region VII, Sacramento instead of San Francisco in Region IX, and Portland instead of Seattle in Region X.

B. Rural Development. Notwithstanding the requirement to use headquarters cities of the Standard Federal Regions as specified in OMB Circular A-105, Section 601 of Public Law 92-419 requires that first priority be given to the location of new offices and facilities in rural areas. A rural area is defined as an area outside the outer boundary of any city having a population of 50,000 or more, and outside any adjacent urban areas with a population density of more than 100 persons per square mile.

C. Space Management. FPMR 101-17, FPMR 101-20, Temporary Regulation D73, and 425 DM 1 require certain steps to be taken in planning changes to field organizations and locations. These steps include coordination with the General Services Administration regarding space needs.

1.4 Planning for Organizational Changes.

A. Service managers must work closely with Service personnel, budget, space, and management analysis staffs throughout the planning process for all organizational changes.

B. To the maximum extent practicable, considering the mission, functions, and customers of the organization, Service organizations/field offices will collocate and share administrative and support services in the interest of economy and efficiency. Where practicable, they will also be collocated with other elements of the Department.

C. Staffing plans for organizational structures must be established within the limits of budgetary, position ceiling and personnel policy controls.

D. Establishment, classification, and approval of key positions must comply with Federal, Departmental and Service personnel requirements. (See especially 223 FW 2.)

E. Departmental and Service labor management relations consultative requirements must be complied with before proposed organizational changes are submitted for final approval. (See 227 FW 1.)

1.5 Responsibilities.

A. The Director is responsible for policy direction and implementation of organizational planning and management within the Service.

B. The Deputy Director - Staff

(1) is responsible for:

(a) Providing technical assistance and counsel to Assistant and Regional Directors regarding organizational management and field office locations;

(b) Carrying out a continuing Service program of organizational review to improve organizational performance and strengthen program direction and management;

(c) Reviewing and recommending disposition of proposed organizational changes and field office locations as provided in 020 FW 3.

(2) and supervises the Policy and Directives Management Staff which has lead staff responsibility for coordinating and resolving problems with Departmental and Service Manual reviews and releases; conducting special studies about organization, mission, structure, functions, and management or program effectiveness and efficiency; and for carrying out analyses of management improvements. The Division coordinates these efforts with other organizations, including Departmental Offices, as appropriate.

C. The Assistant Director - Policy, Budget and Administration supervises:

(1) The Division of Personnel Management which has staff responsibility for reviews and special studies related to position management, effective utilization of personnel, and labor management relations.

(2) The Division of Contracting and General Services which has staff responsibility for reviews and special studies related to space and quarters management. (See 020 FW 6.1C.)

(3) The Division of Finance which has staff responsibility for reviews and special studies related to financial accountability and payroll operations, and which maintains organization codes used for financial accounting purposes. (See 020 FW 6.1C)

D. The Division of Budget which has staff responsibility for reviews and special studies related to budget formulation and budget execution and position ceilings. (see 020 FW 6.1D.)

E. Assistant and Regional Directors are responsible for:

(1) Organizational planning within their organizations;

(2) Ensuring that their organizational statements and structures are current, reflect the mission of their organizations, and promote efficient and effective operations; and

(3) Complying with chapters 2 and 3 before implementing any organizational changes.

For additional information regarding this Web page, contact Krista Bibb, in the Division of Policy and Directives Management, at Krista_Bibb@fws.gov 
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