This section defines when a 1010 package must be submitted for US approval; provides guidance on the documentation to be submitted; and describes the routing and approval process.
When a 1010 Package Requires US Approval
A 1010 package must be submitted for US approval for organizational changes such as:
Abolishing an organizational level component and reassigning its functions to existing or newly created organizational levels.
Establishing new functions requiring new or revised organizational level(s) and functional statements.
A 1010 package would not be needed for reassigning an employee(s) from one organizational level to another - when changes do not occur to the existing organizational structures and functional statements; or for changes made to enhance effectiveness of supervisory ratios.
The following documentation is needed for reorganization packages requiring ASA approval:
Memorandum –should be addressed to the MRP Under Secretary and include:
background information and rationale for the proposed changes, and proposed effective date;
A statement that the requirements of Departmental Regulation 1010-001 have been met;
A statement that the approved change will not result in an adverse civil rights impact;
Concurrence of the appropriate Deputy Administrator and the Administrator;
A statement acknowledging that all applicable labor relations responsibilities have been met, or will be met;
If applicable, a description of needed changes in Title 7, Code of Federal Regulations, Delegations of Authority. If there are no changes, acknowledge in the memo.
Civil Rights Impact Analysis (CRIA) - the Program requests the CRIA from the Civil Rights Staff. When requesting the CRIA, the Program should forward the draft decision memo along with any other information requested by the Civil Rights Staff to aid in the preparation of the CRIA. The CRIA should be requested early to allow for the time needed to complete it.
Organization’s Revised Mission and Functional Statements – updates should be provided for any organizational changes that result in revised mission statements or revisions in the functional statements for the affected organizational levels.
Revised Organizational Chart – this should be provided if the organizational changes results in changes to the Agency organizational chart (edits to agency organizational charts must be signed by the Under Secretary). Revised Program charts will also help the US visualize the changes being proposed.
Signed Notification from the Mission Area Chief Financial Officer – the Program requests this notification from MRPBS Financial Management Division’s Financial Manager. This is a one page notification that certifies that financial and internal controls are adequate. Programs submit background information to the financial manager on the proposed changes along with any other requested information needed to issue the notification.
Routing and Approval Process
The following table describes the routing and approval process for US approval:
Program contacts HR Policy Branch (HRPB) specialist to discuss proposed organizational changes. Program compiles draft 1010 package documents and submits to HRPB specialist for review.
Deputy Administrator obtains concurrence and signature from Agency Administrator and returns signed 1010 package to HRPB specialist for routing through HRD.
HRD Director routes 1010 package to MRP Under Secretary’s (US) office for signature.
US signs memo, provides copy to Agency Administrator, returns package to HRD Director’s Office.
a) Agency Administrator provides requesting Program Deputy Administrator with a copy of determination memo.
b) Requesting Program provides HRPB with a copy of determination memo from US; HRPB specialist forwards memo to the Labor Relations Branch.
If reorganization is approved, Program provides a point-of-contact to confirm needed POL changes with HRPB.
HRD works with Program to identify and implement needed changes (NFC POL updates, PDs, personnel actions, union notification, etc.).
HRPB e-mails a copy of the US approved reorganization package to OHRM 1010 contact within 30 days of the effective date.
Click here to see a flowchart (PDF) summarizing the US Approval process.