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Human Resources Desk Guide (HRDG)

HRDG 1010
Organizational Changes
Section B - Organizational Changes Requiring Assistant Secretary of Administration (ASA) Approval

 

 
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Introduction This section defines when a 1010 package must be submitted for ASA approval; provides guidance on the documentation to be submitted; and describes the routing and approval process.
When a 1010 Package Requires ASA Approval 

ASA approval is required for organizational changes requiring any of the following:

  • Additional Budget Authority
  • Proposed reprogramming of appropriated funds, or the need for supplemental appropriations. For example - funding for a new facility or program, or changes in appropriations that result from a program relocation between agencies.
  • A net increase in physical space
  • Any management-initiated reductions in staff
  • Closure of an entire office or the effective curtailment of office operations
  • Transfer of an entire office across Congressional District lines
  • Transfer of a function across Mission Area, Agency, or Departmental Staff Office lines


Note: temporary offices set up for emergency response are exempted from this process.

Documentation Needed
 

The following documentation is needed for reorganization packages requiring ASA approval:

Memorandum - this should be addressed to the Director, Office of Human Resources Management and include:

a) Background information and rationale for the proposed changes, and proposed effective date;
b) A description of the human resource management impacts such as reductions in staff, changes in grade, movement of staff across Congressional lines, etc.;
c) statement acknowledging that all applicable labor relations responsibilities have been met, or will be met;
d) A detailed description of the financial and budgetary impacts of the proposed change;
e) A detailed description of the proposed change's impact on space or facilities;
f) If applicable, a description of changes that will be needed in the Delegations of Authority (Title 7 of the Code of Federal Regulations, Part 2).

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.

Current and Proposed Staffing Plans – the proposed staffing plan must specify changes in positions and/or funding.  List titles, pay plans, series, grades, and duty stations of positions affected by the change.

Organization’s Revised Mission and Functional Statements – updates should be provided for 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 ASA visualize the changes being proposed.

Summary of Changes – this budget analysis should be prepared as shown in Appendix D, of the Department Directive DR-1010-001, Organization.

Prior Congressional correspondence – if applicable, provide copies or a summary of prior congressional contacts or correspondence.

Signed notification from the Mission Area Chief Financial Officer – the Program requests this notification from MRPBS Financial Management Division’s (FMD) 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
Updated 06/12

Updated 03/14
The following table describes the routing and approval process for ASA approval:

1 Program contacts HR Policy Branch (HRPB) specialist to discuss proposed organizational changes.  Program completes draft 1010 package documents and submits to HRPB for review/concurrence.
2 Deputy Administrator obtains concurrence and signature from Agency Administrator, who routes 1010 package to MRP Under Secretary (US).
3 US reviews 1010 package, signs routing slip and returns package to HRD Director to continue routing process.
4 HRD submits six copies of signed 1010 package to Department contact at the Office of Human Resources Management.
5 Department Staff Offices examine 1010 package and obtain clarification on any issues. **
6 ASA’s Office issues memorandum to AA/US approving or disapproving change.
7

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 ASA; HRPB specialist forwards memo within HRD and FMD.

8 If reorganization is approved, Program provides a point-of-contact to confirm needed POL changes with HRPB.
9 HRD works with Program to identify and implement needed changes (NFC POL updates, PDs, personnel actions, union notification, etc.).

*NOTE: Departmental Staff Offices have a minimum of 60 days to review the proposal. Historically it has taken a minimum of 60 days for an expedited review but it typically takes at least 90 days. Please allow for this review time when planning program organizational change requiring Assistant Secretary for Administration's approval.

Click here to see a flowchart (PDF) summarizing the ASA Approval process.
Sample ASA 1010 Package 
Updated 03/14
Click here to view a fictitious sample of a completed ASA 1010 Package. (PDF) Word file samples are available upon request.

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