CHAPTER 1410 - MANAGEMENT REVIEWS
R1 Supplement 6 - 8/77
1410.2 - OBJECTIVE
The management review system provides the evaluation and adjustment phases in the model of Forest Service
management processes. Reviews identify when and why actions achieve or do not achieve objectives and what
changes in direction, proposals, standards, policies, funding, or staffing may be needed.
The review system also provides a means for improving overall performance. Managers at all levels should
use the review system to focus attention on opportunities for initiating constructive change. Opportunities
include review of existing policy, direction, methods, and procedures, inter-unit communication and
coordination, and organizational effectiveness.
Whether used as a system for evaluation and adjustment, or as a means of achieving constructive change, the
review system is an essential part of management.
A positive, constructive atmosphere is the most important element in a successful review system. Such an
atmosphere is achieved when each step of the review process reflects mutual recognition of common goals, and
mutual respect for each individual's contribution toward those goals.
An "overview" of the review process is presented in flow chart format, in exhibit 5, FSM 1415-.R-l. The flow
chart ties the separate and distinct parts of the review system together and provides a cross-reference to
appropriate sections of the review policy.
The review system uses the following categories of reviews or visits. The definitions for visits are included here
because past and continued use is easily confused with reviews. In general, reviews are for the purpose of
evaluating and adjusting objectives, programs, policy, direction, and procedures; visits are for the purpose of
exchanging information, providing assistance, checking compliance with established standards and procedures,
and becoming familiar with programs, people, and on-the-ground conditions. Visits may also help managers
determine the need for a formal review.
REVIEWS - Formal means of evaluating, adjusting and improving management effectiveness, direction,
policy, and accomplishment, culminating in a line-to-line action planning session. (See FSM 1411.) (The term
line or line officer used throughout this supplement includes the head of the state agency responsible for
Federally supported State & Private Forestry programs.)
General Management Review (GMR) " A review and evaluation of the broad management aspects of a
particular Forest Service unit, including S&PF and Research coordination. Management reviews are concerned
with National, Regional and local objectives, policies, procedures, and unit effectiveness, i.e., they determine
if delegated authorities and responsibilities are being discharged in a manner that results in a satisfactory level
of accomplishment and a cohesive effort toward meeting National, Regional, and local goals and objectives.
Team leader is a line officer.
Program Review (PR) - A review and evaluation of most or all functions or activities that contribute to a
particular program on one or more units. Program reviews are concerned with overall program direction,
including quality and quantity of accomplishment, and are coordinated with all staff officers having
responsibilities related to the subject matter. Multi-program reviews of related programs may be conducted.
Team leader is a Staff Director or primary Forest line/staff officer. Team members are interdisciplinary.
"Program" as used in the R-1 review system is defined as a group of closely related functions or activities
assigned to a single staff officer. Most programs are defined by traditional budget functions or categories
(Timber, Fire, Minerals) and encompass all the functions or activities grouped under these headings. However,
some programs, such as Computer Science or Fiscal Management, are not separate budget items and include
numerous semi-related activities.
A program review as related to State & Private Forestry (S&PF) is defined as a broad review of a state's
programs, functions, or activities supported, or cost shared, with Federal grants for which the Forest Service
is responsible.
Activity Review (AR) - A review and evaluation of one or more activities related to a program on one or more
units. Usually activity reviews related to a specific element within a single program on one unit. Activity reviews
are narrower in scope and more technical in character than program reviews. Activity reviews are concerned
with process, procedures, methods and standards (quality) of accomplishment. Activity reviews are coordinated
with all staff officers having responsibilities related to the subject matter. Multi-activity reviews of related
activities may be conducted. Team leader and team member assignments are based on knowledge of subject
matter.
"Activity," as used in the R-1 review system, is defined as the smallest, yet complete, part of a program.
(Examples-Personnel Classification, Law Enforcement, Materials Testing, Scaling, Presuppression Planning,
Forest Insect Survey.)
VISITS - Informal means of achieving improved understanding, knowledge, communication, and
coordination of programs and activities conducted by or on different organizational levels. Visits may also
be used to check compliance with administrative procedures and serve as an indicator of need for a formal
review.
Supervisory Visit - Made by line officers primarily to establish or maintain communications between two line
officers, other Forest Service employees, and local citizens. Views on unit direction, objectives, and management
philosophy may be exchanged. Major changes in direction or programs are generally dealt with through a formal
review and/or the normal PPB process. A supervisory visit may be proposed by either of the respective line
officers; however, it must be agreed to and approved by the visiting line officer.
Supervisory visits by the Regional Forester and/or Deputy Regional Foresters will be planned and scheduled
(when foreseen) in the annual review schedule and listed in the monthly schedule for events. Supervisory visits
normally will not be documented. Any follow-up action or direction that is required will be issued separately by
the appropriate line officer. Any such direction will usually be limited to existing policy and programs.
Staff Visits - Made by RO Staff Directors or Forest primary staff officers to establish and maintain
communications, or to be acquainted with people, programs, situations, and land areas. Staff visits may be
requested by line or staff officers at any level, but require: (1) mutual agreement of the concerned staff officer
and the line officer to be visited; or, (2) approval of a line officer at the higher level organizational unit.
Regional staff visits will be planned and scheduled (when foreseen) in the annual review schedule or listed in
the monthly schedule of events. In advance of the visit, the visiting staff officer will transmit a letter to the line
officer to be visited, documenting agreed upon dates, itinerary, and general information about the purpose of
the visit. Upon completion, staff visits will be documented by the visiting staff officer in a formal letter to
appropriate line officers; such documentation may include general impressions and recommendations, but will
not contain direction or specify follow-up action. Any follow-up action or direction will be issued separately
by a line officer of the higher organizational level.
Service Visits - Made by staff officers or subject matter specialists to provide technical service and support to
programs or activities. Service visits generally emphasize technical assistance and training related to maintaining
or establishing approved programs, procedures, systems, criteria, and standards. Service visits may be requested
by line officers, staff officers, or subject matter specialists at any level but require: (1) mutual agreement of the
concerned staff officers; (2) agreement by the line officer to be visited; or, (3) approval by a line officer at the
highest level organizational unit.
Regional service visits will be planned and scheduled in the monthly schedule of events, but not in the annual
review schedule. Service visits will be documented by the visitor in a formal letter to the appropriate line or
staff officers but will not contain direction or specify follow-up action. Any follow-up action or direction will
be issued separately by a line officer of the higher organizational level.
Compliance Checks/Visits - Made by staff officers or subject matter specialists to check specific areas of
compliance with internal administrative standards and procedures or externally imposed laws, regulations and
procedures (Federal Personnel Manual, Federal Procurement Regulations, USDA Administrative Regulations,
etc.). Compliance checks or visits (classification audits, fire preparedness checks, imprest fund audits, check
scales, safety inspections, etc.) are generally scheduled in accordance with established frequencies. (See FSM
1412.2--R-1).
Compliance visits may be requested by line or staff officers at any level, but require: (1) mutual agreement of the
concerned staff officers or (2) mutual agreement of the visiting staff officer and the line officer of the unit to be
visited or (3) direction from the line officer at the higher level organizational unit.
Compliance visits by Regional Office personnel will be scheduled in the annual review schedule and will be
documented. Documentation will be in letter or, when required by an external agency, in report format and
transmitted to appropriate line officers. Documentation may include recommendations but will not contain
direction or require follow-up action. Follow-up action may be subsequently directed by a line office at the
higher organizational level when corrective action is necessary to comply with: (1) external laws, regulations,
and procedures; or, (2) internal standards and procedures. All letters/reports documenting compliance
checks/visits should be dual designated for filing purposes (1410, plus subject matter designation).
1410.3 -Policy
1. All forms of review, inspection, evaluation, and compliance checking are part of the review system.
a. Use reviews as needed to evaluate: management objectives, effectiveness, and direction, policies, standards,
and procedures; unit accomplishments that require documentation or line-to-line action planning; and where
formality is required, to perform externally imposed inspections.
b. Use supervisory, staff, or service visits to: become familiar with programs, people, and on-the-ground
conditions; exchange information and provide assistance; maintain communication and coordination with field
units; and to determine need for formal reviews.
c. Use compliance visits to: check compliance with existing internal or external regulations, policies, standards
and procedures (classification audits, fire preparedness checks, maintenance inspections of facilities and
equipment, check scales, safety inspections, audits, etc.); and to determine need for formal reviews.
2. Use the Regional management review system to identify opportunities to improve overall efficiency,
effectiveness, and performance.
3. All reviews will be proposed on an "as needed" basis except for those inspections or reviews which are
required in accordance with a specified schedule (FSM 1412.2, FSM 3806, and FSM 1412.2--R-l).
一. Schedule, plan, and conduct all reviews in accordance with FSM 1410 and FSM 1410--R-l.
一. Line officers will:
a. Approve all review proposals and subsequent actions which change the type, scope, and number of
units to be reviewed.
b. Approve all review plans and any subsequent changes in review objectives.
c. Participate in all review action planning sessions.
d. Insure that all reviews adhere to the following standards:
(1) A review plan must be completed at least 30 days prior to the time a review team arrives on the unit being
reviewed (FSM 1412.3--R-1).
(2) A draft report will be written and discussed with the line officer of the unit being reviewed prior to the review
team's departure from the unit being reviewed (FSM 1413--R-l).
(3) A final report will be in the hands of the respective line officers 30 days (45 days for GMR) after the review
team's departure from the unit (FSM 1413.1--R-l).
(4) Each unit's evaluation of the alternative actions contained in the final report will be in the hands of the
respective line officers at least 10 days prior to the action planning session (FSM 1414--R-1).
(5) All reviews will follow a mutual, systematic problem-solving sequence (FSM 1413--R-1).
1.
Review teams will be interdisciplinary and/or include members from organizational units not under review.
2.
All General Management Review will include an evaluation of the following:
a. EEO and civil rights performance and opportunities.
b. Internal and external operating relationships, communications, and coordination, including S&PF and
Research relationships.
c. Sensitivity and responsiveness to the needs and demands of local residents.
d. Responsiveness to National and Regional direction.
e. Program formulation and accomplishment.
f. Effectiveness of the units safety programs. 1410.4 -Responsibilities
1. Line Officers. Regional and Forest line officers are responsible for establishing and using the management
review system to evaluate performance and to identify opportunities for improvement. Line officers are also
responsible for maintaining the quality of the review system and a cadre of qualified reviewers (see FSM
1412.4).
Line officers at the reviewing level have the following nondelegable responsibilities:
a. Approval of all review proposals and review plans.
b. Participation as team leader of all GMR's
c. Transmitting the final report to the line officer of the reviewed unit.
d. Participation as the principal decision makers in all action planning sessions. Line officers at the reviewed
level have the following nondelegable responsibilities:
a. Participation in the development of the review objectives.
b. Participation in the closeout meeting conducted by the review team leader.
c. Participation as a decision maker in all action planning sessions .
2. Staff Officers. Regional Staff Directors and Forest Staff/Program Officers are responsible for
proposing reviews based on indicators of need and for advising line officers on the effects of proposed
alternatives contained in
review reports.
Regional Staff Directors are responsible for serving as team leaders for program reviews. Team leader
responsibilities are not redelegable to Assistant Staff Directors.
3. Staff Specialists. Regional and Forest Staff Specialists are responsible for proposing reviews to their
appropriate line and staff officers based on field observations, service visits, and evaluations of management
systems or processes. When requested, staff specialists will serve as review team members, evaluate review
findings and suggest or evaluate proposed alternatives.
4. Review Team Leaders. Review team leaders are responsible for:
a. Conducting reviews in an efficient and positive manner;
b. Following policy and procedures in FSM 1410 and FSM 1410--R-l;
c. Using mutual systematic problem-solving techniques;
d. Conducting a closeout meeting and leaving a draft report with the line officer of the reviewed unit;
e. Coordinating the review of the draft review report;
f. Preparing a final review report and transmitting it to the reviewing line officer;
g. Distributing the final report to all units at the reviewing level either involved with or affected by proposed
alternative actions, and completing the reviewing unit's evaluation of proposed alternatives;
h. Insuring that both the reviewing and reviewed units' evaluations of alternatives are in the hands of the
respective line officers at least 10 days in advance of the action planning session;
i. Advising the reviewing line officer of need for additional coordination;
j. Participating in the action planning sessions and follow-up to the degree directed by the line officer;
k. Preparation of review-related correspondence and proper transmittal of the final report, action plan, and
associated documents; and,
l. Preparing required case folder file and record material in accordance with FSM 1415--R-1.
5. Administrative Management. The Director of Administrative Management is responsible for: monitoring
the execution and quality of the Region's review system; providing technical or procedural assistance and
advice to Regional Office and Forest personnel; initiating the annual review system cycle for the Regional
Office by asking for review proposals; summarizing and presenting proposals for Regional Office reviews to
the Regional Forester; distributing the approved annual Regional Office review schedule; conducting review
system procedures training and maintaining a list of qualified Regional review team members; maintaining a
file of all Regional reviews; and reporting to the Regional Forester the status of approved Regional Office
action plan accomplishment.
1412.1 -Scheduling Reviews
Reviews and visits will be scheduled on an as needed basis (see FSM 1412.1 for possible indicators of need)
rather than at fixed intervals, except as noted in FSM 1412.2 and FSM 1412.2--R-l. Scheduling of reviews
will be based upon proposals received in accordance with the following process.
Annually, by November 15, Forest Supervisors and Regional Office Staff Directors will submit proposals for
reviews to be conducted by the Regional Office for a 15 month period (January 1 - March 30) to Administrative
Management. Staff Directors will also include a listing of planned supervisory and staff visits so such visits can
be taken into consideration during the review scheduling process. The Administrative Management Staff will
coordinate with respective Forests and staff units concerning proposed reviews and visits that may involve their
areas of responsibility and present a summary to the Regional Forester for consideration.
Review proposals will include:
1.
Type of review or visit proposed
2.
Unit(s) and/or geographic area involved
3.
Reason(s) review or visit is needed and tentative objectives
4.
Expected benefits or consequences of not making the review
5.
6.
Suggested timing (reviews or visits that can be conducted entirely indoors should be scheduled during the
winter to avoid impacting field time); and,
Length of time since last review.
In January, the Regional Forester will accept or reject the review proposals. Decisions will be based on factors
presented in each proposal and consideration of the impact a number of reviews would have on any one unit,
travel limitations, overall need, etc. Those review proposals accepted will be assigned to the concerned staff for
more detailed planning.
Prior to February 1 each year, the accepted reviews and assignments for detailed planning will be published in an
annual review schedule. For information and coordination purposes, planned supervisory, staff and compliance
visits will also be listed in the annual review schedule.
NOTE that approval to conduct a review is withheld until the review planning process (FSM 1412.3--R-l) has
been completed. The annual review schedule merely authorizes and assigns the responsibility for review
planning--it does not imply approval to conduct a review.
An urgent need for a few reviews may arise that will not allow consideration through the normal process. Special
review proposals will be considered on a case-by-case basis by the appropriate line officer; such proposals will
include all of the information specified above. A copy of the special proposal should be sent to Administrative
Management.
1412.2 -Frequency of Reviews
All reviews and visits (FSM 1410--R-l) are to be made on an as needed
basis with the following exceptions:
REVIEWS
Name and
Maximum Interval
Type
1. Personnel Management Reviews (Evaluations) of Forests
4 years
2. Fiscal and Accounting Management Reviews
3 years
of Forests
3. Business Management Review of Forests,
3 years
4. Program reviews of each state's Federally
3 years
supported or cost shared Forestry program
COMPLlANCE CHECKS/VISITS
Name and
Maximum Interval
Type
1. Accounting Compliance Service Visit of Forests
1 year
2. Imprest Fund Audits
1 year
3. Concession Audits
Flat Fee
5 years
Graduated Fee
3 years
4. Grazing Association Audits
2 years
5. Recreation Permit Audits
60 days
Districts, Job Corps Centers, YCC and NYACC Camps
basis with the following exceptions:
REVIEWS
Name and
Maximum Interval
Type
1. Personnel Management Reviews (Evaluations) of Forests
4 years
2. Fiscal and Accounting Management Reviews
3 years
of Forests
3. Business Management Review of Forests,
3 years
4. Program reviews of each state's Federally
3 years
supported or cost shared Forestry program
COMPLlANCE CHECKS/VISITS
Name and
Maximum Interval
Type
1. Accounting Compliance Service Visit of Forests
1 year
2. Imprest Fund Audits
1 year
3. Concession Audits
Flat Fee
5 years
Graduated Fee
3 years
4. Grazing Association Audits
2 years
5. Recreation Permit Audits
60 days
1.
Check scales of all Forests and Zone Master Scalers 2 years
2.
Ski area safety inspections 3 years
3.
Job Corps safety (Center and work sites) 2 years Required by Department of Labor.
4.
Fire Preparedness Visits of Forests 2 years
5.
Aircraft and pilot inspections of all Forest annually Service owned or used aircraft and pilots
6.
Landing area inspection of all Forest Service annually owned or used airports, heliports
7.
Classification audits (20 percent of all positions) annually
8.
Audit of State and Private Forestry Grant-in-Aid 2 years
Programs and indirect cost rates. (When possible, make in
conjunction with program reviews of states.)
1412.3 -Review Plan
Detailed review planning should proceed as soon as practical after the Regional Forester or Forest Supervisor has
assigned lead responsibility for a particular review. The person assigned responsibility for developing the review
plan and the line officer of the unit to be reviewed will develop the specific objective(s) for the review. Upon
request, Administrative Management will provide review planning advice or assistance. Only after the review
Plan receives line approval does the review become certain.
All review plans must be approved at least 30 days prior to the review team's arrival on the unit to be reviewed.
Detailed preparations, appointments, and final travel arrangements should not be made until after the review plan
is approved.
Review plans will contain the following information:
Name and type of review.
Objectives. The direction and effectiveness of a review depends upon a clear understanding of review
objectives. The objectives are best established in a face-to-face meeting of the respective line officers, but may
be established through correspondence between the person planning the review and the line officer of the unit
to be reviewed.
Approach. The proposed fact-finding approach, including the type and degree of sampling, should be
determined by the objectives and scope of the review. The approach should specify the types of people and
organizations, both In-Service and out, that need to be contacted. (Note: No contacts with people outside the
Forest Service should be made until the review plan is approved.)
Unit(s) and/or geographic area to be covered. Where several units are experiencing similar problems,
and/or a Regional policy is in question, validity and efficiency are increased by including several units
in one review.
Proposed team leader and team members. See FSM 1412.4, 1412.5, and 1412.6 for qualifications, required team
structure, and use of consultants. Final team leader and team member assignments will be made by appropriate
line officers on the basis of the approved review objectives. Premature selection of team leaders and team
members frequently biases review objectives in favor of personal interests. People from the unit to be reviewed
will not be team members, even though they participate heavily in the review.
Select team members in a fashion that will provide the broadest possible perspective. Interdisciplinary and
interunit team members from all organizational levels (other than the unit being reviewed) should be
considered. Beneficial results of a review are usually directly related to points of view represented on the
review team. Serving as a team member can be a broadening experience and offers some career development
experience. An interunit perspective can offer a forum for the exchange of information that may lead towards
broadly improved performance, techniques, and procedures.
Program reviews of Federal-State programs for which the Forest Service has responsibility will normally be
led by a Deputy Regional Forester. Team members may be selected from agencies or units not under review.
Dates, specific agenda, and itineraries. Dates for conducting the review, availability of proposed or desired
team members, and availability of essential participants on the reviewed unit need to be considered
simultaneously. The timing of the review should be adjusted rather than do without an essential skill or
individual.
Pre-work. The productivity of the reviews usually can be improved if both the reviewed unit and the review
team members familiarize themselves with background information prior to beginning on-the-ground work.
Preparation and review of pre-work ahead of the review can help insure the time spent on the ground is more
productive. Information on budgets, organizations, goals and objectives, accomplishments, land use and
functional plans, maps, descriptions of special situations, recent reports and trends, and current examples of
completed work can usually be prepared in advance.
The pre-work section of the review plan should state who is to prepare what background material and when and
where it is to be made available to the review team. Content and due dates for pre-work packages should be
established by the team leader in consultation with the reviewed unit.
Cost/Benefit Relationships. Each review plan will contain an estimate of the costs to make the review. As a
minimum, cost estimates should include the time required to complete the review process, including evaluation
of alternatives and action planning, by line and staff people at both organizational levels and the direct cost of
travel, per diem, etc. Benefits should be described in terms of: possible results and/or efficiencies to be gained,
consequences of not making the review, or amount and likelihood of initiating actions that will generate savings
sufficient to offset the review cost. Line officers will want to consider this information before approving the
reviews.
Approval and Signature. All review plans will be signed as agreed to or accepted by the line officer of the
reviewed unit and approved by the line officer of the reviewing unit. Only after this step does the review
become certain.
Distribute copies of the signed review plan to:
1.
The line officers participating in the review; and,
2.
Members of the review team.
For Regional Office reviews, send one copy of the approved review plan to Administrative Management.
Guidelines for Preparing a Review Plan
Good planning is a prerequisite to good reviews. Clearly understood and measurable objectives are needed to
insure constructive results. Reviews create cost and time impacts that can only be justified if review plans are
well developed, evaluated, and accepted by the unit being reviewed.
Preserve as much team time as possible for the development of situation statements, opportunity/issue
identification, the development of alternatives, and the preparation of a draft report.
There is a tendency to underestimate the time required to write up the draft report prior to leaving the units.
Management and program reviews cannot generally be satisfactorily completed in less than 2 weeks. For
purposes of planning on-the-ground review time, a general rule is to allow: 60 percent of the time for
fact-finding, development of situation statements, and opportunity/issue identification; 20 percent for
developing and testing alternatives; and 20 percent for writing the draft report and discussing it before leaving
the unit.
Review team leaders should plan to allocate a sufficient amount of personal time after leaving the reviewed unit
and returning to their office to satisfactorily coordinate the draft report, complete the final report, and prepare for
the action planning session.
Presentations, discussions, and interviews in an office setting are effective ways to achieve understanding of
managerial situations and overall programs. Observations of on-the-ground conditions are often necessary for
the review teams to gain clear understanding of problems, opportunities, and quality of performance in resource
programs and activities. However on-the-ground observations are time consuming and should be conducted
only to a degree consistent with the fact-finding phase and objective(s) of the review.
Sampling should be the minimum required for the team to validate the situation. Experienced review teams
should be able to understand the situations without repetitious examples.
Specific agenda and itineraries should be developed to the extent possible at the time the plan is prepared.
Efficiency is greatly improved if it can be determined who is going to do what, when, and where well in advance
of the team arriving on the ground. Flexibility can be maintained by designing adequate time for discussions and
team deliberations into the schedule. Keep in mind that travel time in cars, pickups, or airplanes is not the best
setting for productive problem-solving type discussions.
Do not make appointments with or invite non-Forest Service people to participate in a review until after the
entire review plan planning process is completed and the review is signed by the respective line officers.
1413 -CONDUCTING REVIEWS
Creating and/or maintaining a positive constructive atmosphere is essential to a meaningful, productive
review. The first time the review team and members of the reviewed unit meet often determines the
atmosphere for the rest of the review. Adequate time should be allowed during the first day of the review to
develop a clear understanding of: the objectives; the approach; the role of the review team and of each
individual participating in the review; and the process, steps and anticipated time frames.
All reviews must be conducted following a systematic problem-solving sequence. In review system
terminology, the sequence would be; fact-finding, situation statement development, issue (opportunity/problem)
identification; alternative development; and evaluation of alternatives. The decision and follow-up phases of the
systematic problem-solving process are carried out during the action planning phase of the review.
One of the tasks of the review team is to present its report in a format that will facilitate line-to-line
decision-making and action planning. Normally the team members will produce a draft report which is later
turned into the final review report. The writing task can be simplified and made more meaningful if it is done
concurrently with the different stages of the review (see guidelines below and report format, FSM 1413.1--R-l).
The team leader is responsible for presenting and discussing review findings with the unit(s) line officer
during a closeout meeting. The meeting must be held and a draft copy of the report must be left with the
line officer of the unit(s) being reviewed before the review team leaves the unit.
The team leader and the reviewed line officer are each responsible for distributing and coordinating the draft
report with those staff officers within their respective organizational levels whose areas of responsibility
may be affected.
Guidelines for Conducting Reviews
Successful reviews normally are dependent upon the satisfactory completion of the following systematic steps:
1. Fact Finding
Review teams should look beyond the immediate problems or symptoms and try to identify the underlying
causes. Identification and resolution of underlying problems, frequently caused by actions, policies, direction,
and standards-or lack thereof--at both organization levels, produces real benefits in any review.
The fact-finding phase can follow two general approaches, office or field. Many reviews require a blend of
the two following approaches:
.
Office settings are usually more efficient when the objective of a review is to evaluate management
situations, conditions, and decisions; the team's time may then be spent conducting interviews, listening to
presentations, reviewing written records, reports, and correspondence, and in team deliberations.
.
Field settings are appropriate when the objective of the review is to evaluate quality and standards of
work or unusual field conditions and impacts; onsite observations are then necessary and can be the most
efficient means of achieving correct understanding. Travel time is rarely very productive and should be kept to a
minimum. Usually review team members are experienced and can understand field situations well with a
minimum of repetition.
2. Situation Statement Development Upon completion of fact-finding, the team should develop a written
situation statement for each objective. Situation statements should be based on factual data and specific
observations resulting from the fact-finding phase of the review. Few, if any, opinions or subjective judgments
should be included in situation statements. The review team and the unit being reviewed should be able to agree
on facts collected and conditions observed. Subjective statements frequently result in disagreement and debate
which places the unit being reviewed in a defensive posture during the issue identification and alternative
development phases of the review (see FSM 1413.1--R-1).
3. Issue Identification
Specific issues (opportunities/problems) should be developed for each situation statement, based upon the
data and observations contained in the pertinent statement. Development of issues should be a team effort
and, if possible, involve concerned people on the reviewed unit.
Issues identified should be supported by and relate to the information contained in the situation statement(s).
Unsupportable issues lead to the development of inappropriate alternatives, i.e., unrealistic alternatives or
alternatives that do not address the "real" issue. Evaluation of alternatives and line-to-line action planning are
difficult to complete when people other than the review team cannot relate the issues identified to the facts
contained in the situation statement.
Issues should be stated specifically. It is better to have several specific issues for each situation statement than
one broad issue. Precise issue identification facilitates the development and evaluation of alternatives and the
action planning phase. A helpful technique for review teams to use is the development of a precise statement of
an issue or problem as a topic sentence for each paragraph in the situation statement, followed by supporting data
and observations. Use of this technique permits line officers and other people reviewing the report to easily relate
situations to identified issues. (See FSM 1413.1--R-1 and exhibit 1, FSM 1415--R-1).
4. Alternative Development
Alternatives should be developed in a manner that will offer the respective line officers a full set of options
which, after proper evaluation, will insure a productive action planning session.
A full range of alternatives should be developed for each issue. Line officers may select one or more
alternatives for inclusion in the action plan during the line-to-line decision making session. The alternatives
developed for each issue may thus range from partial solutions to completely new approaches. Alternatives
may also be developed that require action by units at the reviewing level.
Creative problem-solving should be encouraged in the interests of developing entire new approaches or
solutions to problems rather than accepting traditional solutions. A group session where the review team and
people from the unit reviewed can interact is the most productive.
Alternatives should not be discarded prematurely; concerns about costs, skills, and available time are line
officer prerogatives. Prejudging line officer willingness or acceptance of alternatives may lead to partial
solutions or limit constructive change.
More commitment and better results are frequently achieved when appropriate specialists from the unit(s) being
reviewed participate as alternatives are developed. The review team and people from the unit being reviewed
may thus work together to mutually identify issues and to develop reasonable alternatives for inclusion in the
draft report.
When alternatives are being developed, special effort should be made to capture points discussed; such
discussions often contain much of the analysis or points that will require more follow-up or evaluation.
Frequently information with regard to costs, skills available, time requirements, etc., will be useful when
alternatives are to be evaluated. If such information is recorded, much of the draft report can be assembled
immediately following such a meeting.
Alternatives shall go beyond specifying increased staffing or funding. Emphasis should be on quality and
quantity of work, standards of work planning and accomplishment of work, internal systems and procedures,
Regional Forest or state policy and direction, etc. Evaluation of alternatives will surface trade-offs in funding
and staffing. The line officers will address any funding and staffing issues during the action planning session.
The alternatives selected and dates for completion of the action will determine the degree to which
reprogramming will be needed.
Alternatives may suggest separate studies or reviews when issues arise that exceed the scope of the planned
review or the skills and capabilities of the review team.
Alternatives may be added, deleted, or modified between the time the draft report is left with the reviewed unit
and the final report completed. Rarely will one organizational level have all the information necessary to produce
the best solution. As the draft report is being more broadly reviewed and coordinated, and as the initial
alternatives are being evaluated at both the reviewing and reviewed levels, adjustments may be necessary. The
team leader is responsible for coordinating the development of all review alternatives and modifying the draft
report prior to issuance of the final review report. (See FSM 1413.1--R-l)
5. Evaluating Alternatives Evaluation of alternatives may be begun, if time permits, while the review team is on
the unit being reviewed. In most cases, full information on costs, impacts on other functions, legality, etc., will
not be available and the team will have to follow up on these points when they return to their home office. Final
evaluation of alternatives should be completed only if all concerned staff units from reviewing and reviewed
units are participating. (See FSM 1413.1--R-1)
6. Closeout of Field Portion of Review
The review team leader must present the reviewed line officer with a draft report before or during the closeout
meeting. A more productive meeting will result if the draft report can be made available to the reviewed line
officer at least several hours in advance of the closeout.
The purpose of the closeout meeting is to resolve last-minute questions of fact or observations, clean up possible
inaccuracies or misconceptions, and establish agreement on findings. The review team leader and the line officer
of the unit being reviewed should also discuss the nature, timing, and sequence of the remaining actions
necessary to complete the review.
As a minimum the draft report used during the closeout session must contain:
a. A list of proposed commendations.
b. Situation statements covering the general subjects of the review. At least one situation statement will be
developed for each objective contained in the approved review plan.
c. A listing of the specific issues (opportunities/problems) relating to each situation described.
d. Those preliminary alternatives that the team has agreed are realistic for each issue identified. (See FSM
1413.1--R1).
1413.1 -Review Report (See exhibit 1, Report Format, and exhibit 3, Flow Chart - Preparing Final Review
Report, FSM 1415--R-l.)
The purpose of the final review report is to present a fully coordinated documentation of findings and to
present the final set of issues and alternatives and for subsequent staff evaluation and line officer action
planning. The report should contain all the information the line officers will need to relate the issues and
alternatives developed to the situations described.
After the review team leaves the unit, the team leader must transmit the completed review report to both line
officers within 30 calendar days (45 for GMR).
Completing the Final Review Report
The review team leader is responsible for completing the final review report, which includes the following steps:
-Coordinated review of the draft report. The review team leader should route the draft report for coordination
with and review by all concerned staff units at the reviewing level. Concerned staff should pay particular
attention to the alternative actions proposed in the draft report and transmit comments and suggestions for
modification, deletion, or addition of new alternatives to the review team leader within 15 days from the
closeout meeting. Formal evaluation of alternatives will be based upon the final set of alternatives contained in
the final review report and is a subsequent step.
The reviewed line officer(s) should conduct coordinated staff reviews of the draft report within their offices,
submitting comments and any suggestions for adding, deleting or modifying alternatives to the review team
leader within 15 days from the closeout meeting.
-Finalizing alternative actions. A final set of alternatives must be included in the final report. Review team
leaders are responsible for preparing the final set of alternative actions, based on comments received from the
reviewed unit and concerned staff units at the reviewing level.
The team leader should transmit the final set of alternatives to the reviewed line officer as early as possible; it is
not necessary to wait for completion of the final report. Early transmittal will help insure that each unit has an
opportunity to fully evaluate the same set of alternatives. (See section 4, "Alternative Development" of FSM
1413--R-l and "Evaluation of Alternatives" section, below.)
-Transmitting the final report. The review team leader should prepare a letter for the signature of the
reviewing line officer that transmits the final report to the line officer of the reviewed unit.
The transmittal letter should specify: what additional coordinating steps need to be taken; how the
evaluation of alternatives will be handled; a proposed date, time, and location for the action planning
session; and the people expected to participate in the action planning session.
or Regional Office reviews, send one copy of the letter and final report to review team members, concerned staff
units, and Administrative Management.
Report Format
The following review report format will be used in R-1. (See exhibit 1, FSM 1415--R-1). This format permits
cumulative building of the report from draft stage through the action plan to form a completed report of the
review.
1. Introduction - Should cover the type of review, units or geographical areas reviewed; review team names and
titles, dates of this review, elapsed time since last similar review, and a brief description of how the review
was conducted, principal participants, and major locations visited.
2. Summary of review - The purpose of the summary is to provide a brief overview of the review, its objectives
and principal findings for those people who do not have time to read the entire report.
3. Commendations - state notable accomplishments by the unit(s) or by individuals. This section should be
coordinated closely with the line officer prior to drafting to avoid the possibility of contradictory
management actions.
4. Situation statement, issues, and alternatives - This section is the main body of the report. The arrangement in
exhibit 1,. FSM 1415--R-1, should be used to facilitate discussion during the action planning session. (See
sections 2, 3, and 4 of Guidelines for Conducting Reviews, FSM 1413--R-1).
5. Appendix - Normally this section of the report will include copies of the review plan, a list of people
contacted and places visited organization charts, copies of forms, reports, and other material pertinent to the
review.
Guidelines for Review Report Writing
(See sections 2, 3, and 4 of Guidelines for Conducting Reviews, FSM 1413--R-1)
Situation statements should describe the issues and present background information in enough detail so
In-Service readers can get an understanding of the issues. Situation statements should be written so that the
specific opportunities or issues can be separately identified by the reader.
Issues identified should be as specific and narrow as possible. A common problem, both in conducting the
review and later in writing, is for review teams to try to deal with issues that are too broad and general.
Alternatives become difficult to develop and evaluate when they relate to broad, general issues. It is much
better to identify and deal with a number of specific issues rather than try to deal with an all-inclusive
statement.
Evaluation of Alternatives (See exhibit 4, Flow Chart - Evaluating Alternatives, FSM 1415--R-l.)
The purpose of evaluating review alternatives is to prepare the respective line officers involved in a review for
their action planning session. Evaluation activities at the reviewing and reviewed units may thus proceed
independently, i.e., there is no need for the two units to develop a consolidated evaluation.
The line officer of the reviewed unit(s) and the review team leader are responsible for the development of a
coordinated, written evaluation of each alternative included in the final review report. Accumulated staff input
will be aggregated into a separate evaluation document for each of the two units involved in the review. These
separate documents, and any differences between them, will be discussed during the action planning session. The
evaluations of alternatives from both units will become part of, and will be appended to, the distributed copies of
the final review report.
Each line officer must have completed and exchanged their evaluations at least 10 days in advance of the action
planning session. A productive action planning session depends upon giving the concerned line officers
sufficient lead time to study the report and evaluation of alternatives.
Team leaders may find it necessary and desirable to call a meeting so staff and specialists from both levels can
interact on alternatives and their evaluations.
Evaluation of alternatives should include:
1.
2.
Analytical or narrative comparison of relative advantages and disadvantages for each alternative.
Comments on the conformity and effects of the alternative upon existing policy, the need for new policy, or
the effects of no change.
3.
Comments on the availability of skills and technical knowledge.
4.
Cost Implications.
5.
Cost/benefit--cost effectiveness relationships or estimates of the degree (and probability) of savings,
improved performance/efficiency, etc., that will be necessary to offset the implementation cost of each
alternative.
The team leader is responsible for insuring that completed evaluations from both the reviewed and reviewing
units are in the hands of the concerned line officers 10 working days in advance of the action planning session.
Responsibility for the review shifts back to the reviewing line officer when the review team leader has
transmitted copies of evaluations of alternatives to line officers of both the reviewed and reviewing units.
The team leader may still be involved to various degrees at the option of the line officer.
1414 -ACTION PLAN (ACTIVITY REVEIW)
Action planning meetings will generally be scheduled no later than 30 days after the final review report has
been distributed to the reviewed unit but at least 10 days after each concerned line officer has received both
the reviewed and reviewing units' final evaluations of all alternatives. (See FSM 1413.1--R-1 and exhibit 4,
FSM 1415--R-1.) The review team leader is responsible for completing the final report and insuring that the
evaluation of alternatives is in accordance with the above specified time periods.
The action plan will be treated as a contract by line officers at both the reviewing and reviewed unit. The
documented decisions and assignments constitute line direction. The signed action plan is the written record of
the decisions made or agreed to by the respective line officers. The action plan becomes the formal document
that leads to adjustments in policy, direction, programs, and actions in the Region's overall management
processes.
1. Line-to-line Decision making The climate of the action planning session should be one of mutual problem
solution. Line officers will consider the effect of prior commitments as they consider the selection of
alternatives; some alternatives may have to be implemented through the Planning, Programming, and Budgeting
processes and thus require up to 3 years to implement. When more immediate action is needed participants
should come prepared to discuss and make adjustments to operations and targets for the intervening fiscal years.
Where insufficient information exists upon which to base a decision, the line officers may:
a. Direct appropriate staff to develop the additional information.
b. Direct that an additional study or review be conducted; or,
c. Determine the problem does not warrant further efforts.
2. Action Plan Preparation and Format
Preparation of the action plan is the responsibility of the line officer of the reviewing unit; this responsibility
may be assigned to the review team leader if he participates in the action planning session.
The written action plan states what is to be done, the title of the official responsible, and a target date for
completion. Action plans should be brief and concise, relying on the report for backup detail. The action plan,
like the report, should avoid "how to" type statements.
The action plan should be organized in the same sequence and format (see exhibit 2, FSM 1415--R-1 as the final
report to facilitate reference. The action plan should briefly state the objective(s), repeat the issue statement(s),
and list the alternatives/actions selected to correct each problem. Cross references to appropriate page numbers in
the final report are helpful. The line or staff officer assigned the responsibility for the action and a target date for
completion should be listed beside each action.
The reviewing and reviewed unit's evaluation of alternatives will be attached to the action plan as appendices.
3. Action Plan Distribution
The line officer of the reviewing unit or the review team leader will prepare a cover letter distributing the
completed action plan; the cover letter should draw attention to those specific actions necessitating wider
distribution or requiring special treatment.
Copies of the action (and copies of the review report if not previously sent) should be sent to:
a. The line officer(s) of the reviewed unit(s).
b. Staff people assigned responsibility for the implementation of any action.
c. Other line and staff officers who may have similar situations or who will be affected. For Regional Office
reviews, send a copy of all action plans to Administrative Management.
4. Regional Office Reviews
The Regional Forester and/or Deputy Regional Forester(s) and the Forest Supervisor of the reviewed unit, or
head of the state agency responsible for State Forestry programs, will participate in the action planning sessions
for all reviews conducted by the Regional Office.
The Regional Office line officer involved in the action planning session may invite the review team leader,
other review team members or additional staff participation as necessary to provide more depth to the
information stated in the review report or assist in the decision making process. Participation in Regional Office
action planning sessions will be specified in the letter transmitting the final report to the unit being reviewed.
Depending upon the degree of and need for expanded staff participation during action planning sessions, the
Forest Supervisor being reviewed may request that appropriate members of this staff be included as
participants.
1414.2 -Follow-up Action and Certification
Each line officer involved in a review will certify completion of his share of the agreed upon actions to the
other line officer. Since an action plan creates a contractual relationship, each line officer incurs an equal
obligation to certify completion of their specified action plan responsibilities.
Staff Officers assigned responsibility for action items will certify completion to their respective line officers by
letter.
Each line officer involved in a review will exchange certifications of accomplishment no later than 12 months
from the date the action plan is approved. Formal letter specifying those actions in the action plan, which has
been accomplished, will make certifications. Beginning 18 months after the action plan is signed and each 6
month period thereafter, certification letters will be exchanged and include status reports on each uncompleted
action item.
Line officers may elect to schedule follow-up visits to discuss accomplishments, evaluate results, or renegotiate
agreed upon actions. Changes in conditions and personnel may result in the loss of commitment and momentum
towards the accomplishment of agreed upon actions. Any line-to-line modification of review action must be
documented and appended to copies of the action plan in the central files of both the reviewing units.
Line officers of all units will establish control procedures to insure accomplishment of all review action
items and certification.
1. Regional Office
The Regional Forester of Deputy Regional Foresters will certify accomplishment of those actions
assigned to the Regional Office units in approved action plans by letter directly to the Forest Supervisor of
the reviewed unit.
Regional Office Staff Directors assigned responsibility for action items will certify their accomplishments by
letter to the appropriate Deputy Regional Forester. Send one copy of each certification to the line officer of the
reviewed unit and one copy to Administrative Management.
The Administrative Management staff will monitor all Regional Office action plans and report the status of
cumulative accomplishments on all "open" (see FSM 1415--R-1) reviews to the Regional Forester as part of the
review scheduling presentation.
1415 -REVIEW FILE
Both the reviewing and reviewed units will maintain a file (case folder) for each review they participate in at
one central location. Case folders of reviews will include: all official review correspondence, the review plan,
the review report, the action plan (including evaluations of alternatives), any post-review correspondence, and
all letters relating to follow-up actions and certification(s) of completion.
Case folders should be retained in an "open" status until the review action plan is certified as accomplished by
both the reviewed and reviewing units. Once all actions are certified as complete, case folders should be moved
to a "closed" file. Five years from the date that all actions contained in the action plan are certified as
accomplished by both units, official case folders in the "closed" file will be sent to the Federal Records Center as
permanent files.
Generally, draft review reports and working papers may be withheld from public inspection (FSM 6271.2 Exemption #5 of the Freedom of Information Act) but purely factual portions of draft review reports may be
open to public inspection. Entire reports, letters, and documents which are referred to or quoted in the draft or
final review reports also become available to the public upon request. Information from such documents used
without direct quotes or reference does not open the document to the public, unless that particular document is
already open. Once the final
report has been transmitted by the reviewing line officer, the review plan, report, and related correspondence
are generally available to the public upon request. Contact the Regional Freedom of Information Officer
with questions concerning withholding or editing any portion of review reports.
Review action plans, including the appended evaluations of alternatives, will become available to the public
upon
request after the action plan has been signed by the reviewing line officer. Requests for copies of review
documents should be referred to the line officer of the reviewed unit; the line officer may then elect to transmit
the documents or arrange a personal meeting with the requestor to discuss the process, findings, and actions, thus
insuring that all facets of the review are thoroughly understood at the time the documents are released.
For more information on format, content and distribution of review documents see: Review plan FSM
1412.3--R-l Review report FSM 1413.1--R-l, Exhibits 1 and 3, FSM 1415--R-l Evaluation of alternatives FSM
1413.1--R-l and Exhibit 4, FSM 1415--R-l Action plan FSM 1414--R-l and Exhibit 2, FSM 1415--2 Follow-up
action and certification FSM 1414.2--R-l Freedom of Information Act considerations FSM 6271
1. Regional Office Official case folders for Regional Office reviews will be maintained in the centralized files of
the Regional Office. Review team leaders will forward copies of the review plan, review report,
action plan (including the transmittal letter and copies of the reviewed and reviewing units' evaluation of
alternatives),
and all official review correspondence for inclusion in the official case folder. Copies of all post-review
correspondence, including certifications of accomplishment by officials of the reviewed and reviewing units, will
be forwarded for filing in the centralized files of the Regional Office.
Exhibits 1 and 2 illustrate suggested format for the review report and action plan. Exhibit 3 is a flow chart of the
report building process. Exhibit 4 is a flow chart of the action planning process and exhibit 5 is a flow chart for
the entire review process.
Exhibit 01 Final Report Format (see FSM 1413.1--R-l) (Title of Review) FINAL REVIEW REPORT
I. INTRODUCTION
A. Type of review
B. Unit(s) or geographical are reviewed
C. Review team -- names and titles
D. Inclusive dates at unit(s)
E. Brief description of how the review was conducted and findings.
II. SUMMARY OF REVIEW
A. Objectives of review
B. Brief description of problems identified and causes
C. Brief summary of alternatives considered feasible.
III. COMMENDATIONS
A. Notable accomplishments by the unit
B. Notable accomplishments by individuals
IV. STATEMENT OF FINDINGS AND ALTERNATIVES
A. Situation Statement - (Reference to one or more of the review objectives)
Include a narrative description of observations relating to the stated objective, principally based on fact and the
findings of the review team. Include sufficient background information to enable line officers to relate situations
or conditions observed to the issues and alternatives developed. Generally, the topic sentences of paragraphs in
situation statements should describe the specific issues identified.
1. Issue. (There would most likely he several of these under any one situation statement.)
a. Alternative - (at least two, including a "no change" option, for each opportunity/issue identified.)
b. Alternative
2. Issue
a. Alternative
b. Alternative
c. Alternative
d. Alternative
B. Situation Statement - (Continue with above format for each situation developed, with reference to one or more
of the planned review objectives.)
V. APPENDIX
A. Review Plan (copy of approved plan)
B. Organization charts
C. Lists of people contacted and locations visited
D. Copies of material and data as needed to support situation
statements contained in the report.
Exhibit 2 Action Plan Format (see FSM 1414--R-l) (Suggested Title Page) ACTION PLAN LOG SCALlNG
ACTIVITY REVIEW Flathead National Forest
August 23-27, 1976 ____(Signature)____ ____
(Signature)____ (Name) (Name) Forest Supervisor Deputy Regional Forester Flathead National Forest (Date)
(Date)
Suggested Action Plan Format OBJECTIVE(S) " Repeat the
wording from the review report if the objective is written in a few words, otherwise just reference the final report
page number.
ISSUE OR PROBLEM STATEMENT - Repeat the numbering and wording from the final report.
Target Date Agreed on Action Responsible Official For Completion
Use the wording of List the title of the List the specific the selected alternatives official responsible date(s) the
line from the final review report for completion of officer agreed on or new wording developed or the action. for
completion of modified by the line the action. Use the same numbers and letter designations as used
in the final review report; omit those not selected as action items. List those actions assigned to the reviewing
line officer first.
There may be several issue or problem statements under each objective and one or more action items under each
issue or problem statement. The evaluations of alternatives prepared by each unit should be appended to the
action plan.
Flow charts may be viewed in Directives or in the hard copy.