R2 SUPPLEMENT 6100-94-2
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FOREST SERVICE MANUAL
DENVER, CO
FSM 6100 - PERSONNEL MANAGEMENT
R2 Supplement No. 6100-94-2
Effective August 1, 1994
POSTING NOTICE: Supplements to this title are numbered consecutively. Post by
document name. Remove entire document and replace with this supplement.
Retain this transmittal as the first page of this document. The last supplement to
this Title was Supplement 6100-94-1 to 6130.
Page Code
6171.16a
6171.32--1 thru 6171.32c--3
6171.32e--1 thru 6171.32e--2
6171.52g
6172.1 thru 6172.2--4
6173.29
6174.04
Superseded Sheets
1
3
1
1
3
1
1
Supplements Covered
R2 Supplement 260, 08/84
R2 Supplement 258, 05/84
R2 Supplement 233, 08/80
R2 Supplement 273, 03/89
R2 Supplement 271, 08/88
Document Name
6170
New
(Number of Pages)
11
Digest:
Updates Chapter to electronic format, removes material which is not in the
appropriate manual or chapter.
ELIZABETH ESTILL
Regional Forester
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6171 - LABOR-MANAGEMENT RELATIONS.
6171.04 - Responsibility. Authority for processing unfair labor practices, after they
have been filed with the Federal Labor Relations Authority (FLRA), is limited to the
Regional Office.
Upon receipt of a ULP the first step is to determine, from the party filing the
charge, if the charge has been filed with the FLRA. If the charge has been filed,
notify the Regional Office, Personnel Management staff, immediately and the
process will begin. All communication will be between the Regional Office and the
Forest Supervisor and the Regional Office and the FLRA. If the charge has not
been filed, local management should meet immediately with the Union to determine
settlement opportunities in an attempt to avoid the filing of a ULP. The filing of
the charge with the FLRA does not preclude settlement. Settlement is normally a
possibility and should be pursued until the FLRA issues a decision.
6172 - DISCIPLINE, ADVERSE ACTIONS, AND PERFORMANCE-BASED
ACTIONS.
6172.03 - Policy. Supervisors and line managers are responsible for reporting
conduct and performance issues to the organizational level delegated authority to
take action. When an issue becomes known, a few facts should be gathered--enough
to discuss the matter with the decision-making official to decide what level and kind
of investigation is needed. See exhibit 01.
There will be only one disciplinary/performance process in the Region, applied to all
levels of the organization in a fair and consistent manner. Although penalties and
remedies may vary according to the circumstances and severity of the case, no
variance in penalties or remedies will occur as a result of the employee's place in
the organization.
Internal personnel investigations not involving criminal action will not involve
Forest, Zone, or Regional Criminal Investigators. Administrative investigations are
more appropriate and the Regional Employee Relations Specialist is delegated
authority to take sworn statements where necessary in these cases.
6172.1 - Employee Misconduct. Delegation of adverse action authority for conduct
(752) issues will be to the Forest Supervisor with a qualified Personnel Officer
available. The Procedure in FSM 6104, R2 Supplement is to be used when
requesting delegation of authority for adverse actions. All actions, Letter of
Reprimand through Removal, will be discussed with the Regional Office Employee
Relations Specialist or Personnel Director prior to action under the authority.
The purpose of this requirement is not to assume the Forest Supervisor's authority;
rather, to ensure consistent application of penalties and evaluate the ability of the
field personnelists and managers to administer the delegation. This pre-decision
requirement will be evaluated after sufficient time or volume of cases has elapsed to
provide a realistic assessment of program/delegation success.
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It is absolutely essential to maintain an equitable application of adverse action
throughout the Region. One predominant reason is to ensure affirmative decisions
from third party appeals. Equitable treatment also develops trust and respect for
management decisions. Nothing discredits a management action more than
disparate treatment of an employee based on location or ranking in the
organization. Third party judgments will reverse otherwise legitimate actions
solely on the basis of non-equal treatment.
The Employee Relations staff in the Regional Office, Human Resource Staff, will
serve as consultants to the Forest Supervisors, and is also available to assist in or
represent the Forest at third party proceedings--EEOC, MSPB, and Arbitration of
Grievances, and will be available to perform investigations, take sworn statements,
etc.
6172.2 - Substandard Performance. Delegation of performance based actions is not
delegable below the Regional Forester level. Forest Supervisors and Staff Directors
are charged with responsibility to recommend performance-related actions such as
demotion, reassignment, or removal, and withholding of WGI. The Regional
Forester and Personnel Director must be involved from the beginning, which
includes review of the individual's performance standards, and the "Opportunity to
Improve" letter prior to issuance to the employee. All such actions will require close
communication and cooperation of all parties involved from the work supervisor
through the Regional Forester. RO Personnel Management will coordinate these
actions.
6172.03 - Exhibit 01
RESPONSIBILITY OF INDIVIDUALS FOR IDENTIFYING, REPORTING
and TAKING ACTION IN PERFORMANCE AND CONDUCT MATTERS:
430 PERFORMANCE
Employee(s):
Work Supervisor:
752 CONDUCT
1) Report violations of law,
regulation, standards of
ethics and conduct.
1) Establish and
1) Report violations.
communicate performance
standards.
2) Monitor work/document 2) Protect evidence.
performance/provide
employee feedback,
assistance, training, etc.
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3) In cases of less than
acceptable performance notify line officer and
Personnel Officer.
Forest Supervisor, Staff
Director and/or Unit
Personnel Officer
1) Notify Regional
personnel officer
1) Determine severity
without formal
investigation or disruption
of evidence or potential
witnesses. DO NOT CALL
IN CRIMINAL
INVESTIGATOR UNTIL
STEPS 3 AND 4 ARE
COMPLETED.
2) Assits work supervisor in 2) Report findings to line
development of direciton to manager and RO-HR>
employee.
3) With RO, review,
*3) Non-criminal cases--the
develop and issue with
line officer and RO-HR
work supervisor's signature determine the level of
letter outlining
investigation needed and
performance opportunity assign responsibility.
period.
4) Advise work supervisor *4) Criminal cases (and
on decumentation process. possible criminal) - the line
Keep all parties advised.
officer notifies Law
Enforcement. LE & HR,
and involved line officer
will determine level of
investigation and who takes
responsibility for lead.
*These are for cases
involving FS employees.
5) Once investigation is
completed, Unit Personnel
Officer does analysis and
recommends appropriate
action to be taken by Forest
Supervisor.
6) Forest Supervisor takes
action.
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7) Unit Personnel Officer
represents Forest Service in
appeal, complaint, or other
third party; proceeding
resulting from action.
Region HR Director &
ER/LMR Specialist
1) Assists in developing
and approves issuance of
performance opportunity
period letter.
1) provides advice and
assistance.
2) Prepares case analysis
and adverse action letter
for Regional Human
Resource Director's
signature.
2) Conducts investigations.
3) Represents Forest
Service in any appeal
complaint, or other
proceeding as a result of
performance action.
3) Takes actions against
RO employees and those
reporting to the RF.
4) Takes action and
represents FS in those
cases so sensitive or
unusual that Forest
Supervisor requests
Regional Involvement.
Regional Forester
1) Final formal grievance
level in cases involving a
grievance from immediate
subordinate and where
collective bargaining
agreement **states
otherwise.
1) Final formal grievance
level except in cases
involving a grievance from
immediate subordinate and
where collective bargaining
agreement **states
otherwise.
** Chief's policy requires RO representative be present at all proceedings involving
negotiated process.
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6174 - EMPLOYEE RESPONSIBILITIES AND CONDUCT, SUITABILITY, AND
SECURITY.
6174.04 - Responsibility.
6174.04c - Regional Foresters, Station Directors, and Area Director.
Region 2 requires Statement of Financial Interests and Outside Employment, AD392, from the incumbents of the following positions:
Under Executive Order 11222
Deputy Regional Forester
Director, Management Systems & Administration
Assistant Director, Fiscal & Accounting Management
Assistant Director, Procurement & Property Management
Forest Supervisors
Deputy Forest Supervisors
District Rangers - GS-12/13
Under Surface Mining Control and Reclamation Act of 1977 (P.L. 95-87)
Deputy Regional Forester
Director, Physical Resources
Forest Supervisors - Medicine Bow; Grand Mesa,
Uncompahgre and Gunnison; and White River National Forests
Deputy Forest Supervisors (for above listed NationalForests)
No other positions in Region 2 will be subject to the requirement of filing statement
of financial interests.
Those individuals filing under P.L. 95-87 must complete the entire form. Those
individuals filing under E.O. 11222 must complete all but Part 11 F. The forms
must be submitted no later than April 30 annually to Personnel Management.
Information reported on the AD-392 must be as of March 31.
All identified positions will be designated with special employee codes on the
personnel action form AD-350a, block 75. Those positions designated under E.O.
11222 will be coded 55, and those under P.L. 95-87 will be coded 58.
An AD-392 shall be obtained from employees prior to entering the designated
positions. The forms must be on hand before appointment to the position.
6174.4 - Security. Security Clearances for Foreign Travel and Training. Passport
processing for foreign travel and international conferences should begin as soon as
the proposed travel dates are firm, but no later than 70 days prior to the date of the
proposed travel. Forms required are listed in FSM 6540. Attendance at
international conferences must first be coordinated with MSA. Travel to Canada
and Mexico is classified as foreign travel. At this time, Canada is the only country
R2 SUPPLEMENT 6100-94-2
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not requiring official passports. The Regional Office, Human Resource Staff, is the
unit responsible for passport coordination with the Chief's Office.
6175 - COMPLAINTS OF DISCRIMINATION IN EMPLOYMENT.
6175.03 - Policy. Equal Employment Opportunity Counselor Report. Upon request
the counselor's report will be sent directly to the Washington Office by the
counselor. A copy will concurrently be sent to the Employee Dispute Resolution
Office.
A summary of resolution attempts by the Regional Forester's representative will be
forwarded to the Washington Office at the time the EEO Counselor's report is
requested. Exhibit 01 is a checklist of items to be covered in the EEO Counselor's
report.
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6175.03 - Exhibit 01
CHECKLIST OF ITEMS TO BE COVERED IN AN EEO COUNSELOR'S REPORT
Some cases will not require all of this information. An "x" indicates items that must
be included.
x Name of aggrieved employee or applicant.
x Organizational unit, title, and phone number (if employee).
x Permission or refusal to reveal name of aggrieved employee or applicant.
x Title and grade of position (if employee). Title and grade of applicant.
- Length of time in position and grade (if employee).
- Summary of background (only as applicable): Work Interests and Goals, Work
History, Education, Training, Awards, Tests, Health, Supervisory Appraisals.
x Date of initial interview with the EEO Counselor. Other interview dates should
also be shown.
x Kind of discrimination alleged (race, color, religion, sex, age (40-65), national
origin, marital status, or physical or mental handicap).
x Date of the matter causing the aggrieved employee or applicant to believe he or
she had been discriminated against, or if personnel action, its effective date.
x Description of problem--action, decision, or condition--giving rise to the matter as
seen by aggrieved employee or applicant (or by other persons involved).
x Name, organizational unit, title, grade of other persons involved in the case.
x Specific corrective action(s) requested by aggrieved employee or applicant.
x Specifics of corrective action(s) requested by aggrieved employee or applicant.
x Specifics of Counselor's informal inquiry and information obtained from it.
x List of pertinent OPM, agency, and installation policies, regulations and
procedures.
x List of actions taken by management, or supervisory officials, personnel office,
EEO Officer, etc.
x Resolutions proposed to management or personnel officials regarding the issues of
the matter.
x Proposed resolution(s) given counselee regarding the issues of the matter by the
EEO Counselor and/or others.
- Counselee's expressed viewpoint and decision regarding the resolution proposed by
EEO Counselor and/or others.
- Nature of closing action.
x Date of 21 day interview.
x Date of final interview.
6175.1 - Complaint Processing. The EEO discrimination complaint procedure is
illustrated in exhibit 01.
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6175.1 - Exhibit 01
DISCRIMINATION COMPLAINT PROCEDURES
(Effective December 1, 1972)
-All time limits are calendar days
-Complainant may file civil action within 30 days
of decision by Commission or 180 days if no
decision
-Notice of right to file formal complaint must be
given after 21 days
incident occurs
see EEO counselor
file formal complaint
/
/
/
within 15 days after final
interview
\
\
\
/
agency rejects
complaint
appeal to Commission
within 15 days
\
\
\
\
complainant
decides
/
/
/
File civil action within
30 days
|
|
\
agency accepts
complaint
|
notifies Director of EEO
investigation is
scheduled and
conducted
If agency has not
reached final decision or
requested examiner
within 15 days,
attempt at an informal
Commission may
adjustment
take appropriate action
agency gives proposed
decision
/
\
/
15 days
\
/
\
complaintant request
/
\
hearing
complaintant requests
complaintant
final decision
does nothing
agency gives final
decision
hearing is held
|
proposed
decision beexaminer makes
comes final
recommendation to
agency
/
\
/
agency give no decision
/
within 180 days
agency gives no
desicion within
180 days
complaintant may file
civil action
/
agency gives final
decision
examiners recommendation
becomes binding 30 days
after submission
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Management's Obligations in Complaint Process. Region 2 policy is to make every
possible effort to resolve complaints at the lowest level of the organization as
quickly as possible. Forest Supervisors are responsible for the development and
signing of a resolution agreement. The final agreement must be approved by the
Regional Forester; therefore, the Regional Office must be consulted during the
development process of an agreement. This will facilitate final approval and
implementation of the agreement.
Line managers and supervisors must be alert to potential problems and deal with
them at the earliest possible state. This approach will reduce the activity level at
the informal state and consequently the formal stage.
Equal Employment Opportunity Counselors. The EEO Counselor's responsibility is
to attempt complaint resolution at the informal stage. The EEO counselor has
authority to work directly with local management in this capacity.
When the EEO Counselor determines that an informal resolution cannot be
reached, he/she ,will immediately notify the Employee Dispute Resolution Office in
the Regional Office. At this time the EEO Counselor will provide the following
information:
Name, title, series, grade and duty location of complainant.
Issues of the complaint.
Relief requested by complainant.
Resolution efforts to date.
Why resolution efforts have not been successful.
A Regional Forester's representative will then be designated. The role of the
Regional Forester's representative will be to immediately contact local management
on the unit where the complaint exists and attempt further informal resolution.
The EEO Counselor will provide the complainant with a Notice of Final Interview
with the EEO Counselor (ex. 01) and Notice of Right to File a Discrimination
Complaint (ex. 02) within the established time frames. The activity of the Regional
Forester's representative will not interfere with the EEO Counselor's
responsibilities in any way.
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6175.1 - Exhibit 01
United States
Department of
Agriculture
Forest
Service
Rocky
Mountain
Region
11177 W. 8th Avenue
Box 25127
Lakewood, Co 80225-0127
Reply to: 6170
Date:
Subject: Notice of Final Interview with EEO Counselor
To: Name of Person Counseled
This is notice that on (date) the final counseling interview was held in
connection with the matter you presented to the EEO Counselor.
If you believe that you have been discriminated against on the basis of race, color,
religion, sex (including sexual harassment), national origin, age, or physical or
mental handicap, you have the right to file a COMPLAINT OF DISCRIMINATION
WITHIN 15 CALENDAR DAYS AFTER RECEIPT OF THIS NOTICE.
The complaint must be in writing and may be filed in person or by mail with the
DIRECTOR OF EQUAL EMPLOYMENT OPPORTUNITY or any of the following
officials authorized to receive discrimination complaints:
Secretary of Agriculture
12th & Independence Avenue, SW
Washington, D.C. 20250
Chief, Forest Service
Equal Employment Opportunity Officer
12th & Independence Avenue, SW
P.O. Box 2417
Washington, D.C. 20013
Director of Personnel
U.S. Department of Agriculture
Administration Building, Room 316W
12th & Independence Avenue, SW
Washington, D.C. 20250
Federal Women's Program Coordinator
U.S. Department of Agriculture
12th & Independence Avenue, SW
Washington, D.C. 20250
EEO Counselor's Name and Signature
EEO Counselor's location
NOTE: This notice is to be given to the person counseled at the time of the final
interview. A copy of this notice should be kept by the Counselor. If a complaint is
filed, the copy should accompany the Counselor's report on his or her counseling
activities and be made a part of the complaint file.
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6175.1 - Exhibit 02
United States
Department of
Agriculture
Forest
Service
Rocky
Mountain
Region
Reply to: 6170
11177 W. 8th Avenue
Box 25127
Lakewood, Co 80225-0127
Date:
Subject: Notice of Right to File a Discrimination Complaint
To: Name of Person Counseled
This is to inform you that although counseling on the matter you brought to the
attention of the EEO Counselor has not been completed, 21 calendar days have gone
by since you first contacted the Counselor. You are not entitled to file a
discrimination complaint if you believe you have been discriminated against on the
basis of race, color, religion, sex (including sexual harassment), national origin, age,
or physical or mental handicap.
If you do not file a complaint at this time, counseling will continue and your right to
file a complaint will also continue until fifteen calendar days AFTER RECEIPT OF
THE NOTICE OF FINAL INTERVIEW with the Counselor. The Counselor will
inform you in writing when the final counseling interview is conducted.
If you file a complaint, it must be in writing and be filed in person or by mail with
any of the following officials authorized to receive discrimination complaints:
Secretary of Agriculture
12th & Independence Avenue, SW
Washington, D.C. 20250
Chief, Forest Service
Equal Employment Opportunity Officer
12th & Independence Avenue, SW
P.O. Box 2417
Washington, D.C. 20013
Director of Personnel
U.S. Department of Agriculture
Administration Building, Room 316W
12th & Independence Avenue, SW
Washington, D.C. 20250
Federal Women's Program Coordinator
U.S. Department of Agriculture
12th & Independence Avenue, SW
Washington, D.C. 20250
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You will receive a notice of receipt of your discrimination complaint from the Equal
Employment Opportunity Officer.
NOTE: A copy of this notice should be kept by the Counselor. If a complaint is
filed, the copy should accompany the Counselor's report on his or her counseling
activities and be made a part of the complaint file. This should be given by the
Counselor to the person concerned.
When notified that a formal complaint is received, the Counselor submits a written
report directly to the Washington Office.
A checklist of items should be included in the Counselor's report, see FSM 6130.