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FOREST SERVICE HANDBOOK
DENVER, CO
FSH 1909.13 - PROGRAM DEVELOPMENT AND BUDGETING
R2 Supplement No. 1909.13-93-2
Effective June 18, 1993
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 Handbook was Supplement No. 1 to Ch. 10.
Page Code
10.4--1 through 11.93
Superseded Sheets
6
Supplements Covered
R2 Supplement 01, 09/89
Document Name
1909.13_10
Digest:
Updates to Electronic Format.
ELIZABETH ESTILL
Regional Forester
Superseded New
(Number of Pages)
10
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FSH 1909.13 - PROGRAM DEVELOPMENT AND BUDGETING
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CHAPTER 10 - PROGRAM BUDGET FORMULATION
10.4 - Responsibilities. The Regional Program Development and Budget (PP&B)
process responsibilities are shared by the PP&B Steering Group, PP&B process
manager, PP&B data base manager, Regional PP&B Budget coordinators, and
specially assigned Capital Investment (CIP) Evaluation teams.
10.41 - Process Manager. The Group Leader for Program Budget is responsible for
the following aspects of the Regional PP&B process:
1. Development and maintenance of the Regional process requirements rather
than the substance of the programs developed. Serves as focal point for resolution
of process related questions and maintains the integrity of the Regional program
budget data files.
2. Coordinates the development of all PP&B instructions and program
direction in an annual instruction package in a Regional Interim Directive to FSH
1909.13.
3. Verifies that Forest and other unit program budget proposals adhere to the
annual process instructions, coding requirements, and funding constraints.
4. Coordinates the Regional Staff validation and verification of the Forest
Budget data base. Consolidates issues and concerns not negotiated to successful
resolution with Forests for presentation to the Regional Steering Group for
appropriate action.
10.43 - Budget Coordinators. Are responsible for the following aspects of the
Regional PP&B process:
2. Staff Budget Coordinators.
a. Keeps the Regional Staff Director apprised of all budget related
matters pertaining to that unit's area of responsibility within the
Regional PP&B process.
b. Assists the Regional Process Manager in development of special
instructions and program direction for the annual PP&B instruction
package.
c. Participates in the verification and validation of Forest program
budget proposals for adherence to direction, continuity of program
composition.
d. As a group, comprises the Region's Program Budget Formulations
Team. This team is responsible for formulation of the Region's program
budget submission under the overall guidance of the Regional PP&B
Steering Group.
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e. Makes recommendations through the Staff Director pertaining to the
allocations of funds to the Forests in the budget allocation phase.
3. PP&B Steering Group. The PP&B Steering Group is comprised of the
Director of Planning & Program Budget (Permanent Chairperson), two Forest
Supervisors, and one additional Regional Staff Director. The Regional Staff
Director and one Forest Supervisor will be selected by the Regional Management
Team each year.
Each Regional PP&B Steering Group will monitor and oversee the formulation of
the Regional Program Budget proposal through the Tentative allocation of the
Program Budget to the Forests (normally a 18-20 month period).
The Steering Group acts as the appointed representative of the Regional
Management Team as follows:
a. Provides guidance in establishing program priorities and resolving
points of controversy that develop during the formulation of the Region's
Program Budget proposals.
b. Recommends approval of the annual Budget Development Instruction
package.
c. Monitors development of the criteria to be used to evaluate annual
Forest budget proposals.
d. Monitors the use of the criteria used to evaluate Forest project
proposals for inclusion in the Regional Capital Investment Program.
e. Resolves, or recommends action to resolve, unit costs issues, program
priorities, and other non-resolved budget related issues that may arise
during the verification and validation of the Forest Budget data base.
Recommendations are to be made to the Regional Forester when
appropriate.
4. Regional Capital Investment Evaluation Teams. Regional Staff Directors
may establish review teams to assess and analyze individual project capital
investment projects.
Each team is comprised of a cross-section of the Region, but must contain a Forest
Supervisor and a Regional Staff specialist. The teams are responsible for:
a. Providing guidance in establishing project evaluation criteria.
b. Overseeing and considering "needs assessments" in recommending
levels of capital investments to be included at various levels of the
Regional Program Budget.
c. Reviewing Forest project submissions for adherence to instructions,
evaluation criteria, and so forth.
d. Recommending a priority listing of projects to support the investment
levels approved by the Regional PP&B Steering Group.
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10.5 - Definitions.
4. Starting Point. That portion of a Unit's program that would provide a basic
funding level upon which all subsequent increments are to be based. The Starting
Point (SP) is developed via the process described in section 11.21 of this
supplement.
5. Budget Activity.
a. Forest Plan Level. The annual budget level that depicts the activity
and budget required to fully implement the Forest Plan in a specific year
as opposed to the Average Annual Program levels depicted in the Forest
Plan Data file.
b. Forest Plan Implementation Rate. The percentage of the budget
and/or activity level depicted at any specific Program level as measured
to that required to implement the Forest Plan.
10.6 - Process Schedule Dates.
Budget Development Phase
August 1
Regional PP&B provide previous
year's instructions for updating,
and required format to Budget
Coordinators
Aug. 1-15
Regional PP&B develop initial
Starting Point and increment sizes
and required format to Budget
Coordinators.
August 15
Budget Coordinators submit
revised annual instructions to
Regional PP&B staff.
August 25
Regional PP&B Steering Group
reviews draft annual instruction
packae including distribution of
Starting Point constraints.
Sept. 1
Issue annual Budget development
instruction package to the Forests.
Program Formulation Phase
Sept. 5
Receive Chief's Program Budget
Instructions package.
Sept. 10
DistributeChief's instructions to
the PP&B Steering Group and to
Budget Coordinators for review.
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Sept. 25
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Regional PP&B Steering Group
meets to give Budget Coordinators
initial direction for formulation of
program alternatives.
Nov. 1
Forest submit annual budget
proposals in the required
incremental data sructure.
Nov. 2-5
PP&B conduct major error
validation of Forest data and
correct.
Nov. 5
Regional Capital Investment
Porject (CIP) data file is closed to
further updates.
Nov. 5-10
PP&B staff run initial validation
reports and distribute to Budget
Coordinators.
Nov. 10-30
Budget Coordinators verify and
validate Forest submissions and
negotiate corrections, updates, etc.
with Forest Budget Coordinators.
Nov. 25-30
Regional CIP Evaluation Team(s)
meet to evaluate Forest CIP
project proposals.
Dec. 1
Regional Staff Directors make
recommendation for Regional
Forester directed changes to
PP&B.
Dec. 5
PP&B meets with Deputy Regional
Forester to consider recommended
Regional Forester directed
changes.
Dec. 10
Regional Forester approval of
Regional Budget Data base.
Dec. 15-30
PP&B staff develop initial cut of
alternative Budget strategies for
the Starting Point.
Jan. 2-10
Budget Coordinators review initial
Starting Point alternatives and
identify issue to be presented to the
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PP&B Steering Group.
Jan. 15
PP&B Steering Group meeting to
resolve Starting Point issues.
Formulate Strategic strategy
balance of Regional Program.
Jan. 15-20
PP&B staff develop initial cut of
Regional Increments including
distribution of CIPProgram levels.
Jan. 20-25
Regional Budget Coordinators
review initial Regional increments
and identify issues to be presented
to the PP&B Steering Group.
Regional CIP Evaluation Team(s)
prepare priority list of projects for
the Program Budget year.
Feb. 5
PP&B Steering Group meeting to
develop a recommendation to take
to the Regional Forester on the
composition of the Regional
Program Budget proposals.
Feb. 15
Regional Forester Program Budget
Decision Meeting.
Feb. 15-25
PP&B Staff and Budget
Coordinators develop Regional
Program Budget narrative.
Feb. 28.
Regional Program Budget data and
narratives are due.
April 1
PP&B recaps decisions made
relating to the Program Budget
and submit to the Forests and
Regional Directors.
11 - PROGRAM BUDGET INSTRUCTIONS AND SUBMISSIONS. The Regional
PP&B Process Manager prepares the annual instruction package with the
assistance of the PP&B Coordinators. The Regional PP&B Steering Group will
approve the issuance of the annual instruction package.
Forest Supervisors and Regional Directors shall submit a budget proposal that
complies with the information requirements provided in the annual instruction
package and the following guidelines:
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All Units will follow these guidelines:
1. Use only the Activity and fund codes stipulated in Section 11.23 of this
Supplement.
2. Delete all locally used codes that do not conform to the activity and funding
code requirements specified in Section 11.1, of this supplement.
3. Save the data files for a minimum of 12 months from the date of submission.
4. All projects and program proposals must be implemebtable and must be in
compliance with the Forest Plan.
5. Validate program proposals prior to submission to the Regional Office via
use of the Regional provided analysis reports.
11.1 - Annual Instructions. The annual budget development instructions shall
include the following information:
1. Specific instructions pertaining to the development of Regional Capital
Investment projects will be contained in the annual instructions.
2. Establish the Starting Point Constraints and the size of increments to be
submitted as specified in Section 11.21 and 11.22.
3. Regional direction pertaining to the STARTING POINT and specifications
for development of increments.
4. Establish cutoff date for negotiation of assigned objectives and funding
constraints.
5. Regional Forester provides program guidelines and emphasis categories
based upon the Region's Program Budget proposal for the budget year. Normally
the Region will not assign specific targets to Forests in the budget formulation
phase, but programming instructions and guidance will appear in the annual
instructions if applicable.
6. Establish procedures for submission of special project consideration.
7. Specify format for narratives to be submitted.
8. Specify any special coding or data structure requirements not reflected in
this supplement.
9. Current listing of Regional PP&B Coordinators.
11.11 - Negotiations. Forest requests for adjustments, corrections, etc., to funding
onstraints or specific program direction contained in the annual budget
development instructions must be requested by memorandum (1930) by the data
specified in the annual instructions.
11.21 - Starting Point.
The Starting Point calculation process will use the following process:
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STEP 1 - The Forest Plan average annual budget as displayed in the Forest Plans
data file, for the period covering the year being budgeted (i.e., 1988 in the "FP data
file" covers 1986-89 budget years) will be used as the basis for the calculations.
STEP 2 - The average annual budget will be reduced by the amount of funding
committed to the Regional Capital Investment Projects (CIP) program; nonconstrained activities (e.g., all Reforestation and TSI, Coop-Other, Brush Disposal,
and Timber Purchaser Roads) contained in each Forest's Forest Plan Data file.
STEP 3 - The net result of steps #1 and #2 will determine the percentage share that
each Forest represents within the Regional total.
STEP 4 - The Starting Point will initially reflect each Forests' share of a
predetermined Regional Starting Point allowance, usually 95% of the current year's
Regional Initial Planning Advice. This initial allowance will be adjusted to assure
that no unit will be assigned a Starting Point that is below 91% of the current fiscal
year's Initial Planning Advice for like activities. In addition, other specific program
adjustments may be reflected IF specifically identified in the annual instructions.
The Starting Point calculation process will remain constant, but the actual Starting
Point allowances developed may vary from year to year.
11.22 - Increments. Increments will reflect a fixed percentage of the difference
between the Starting Point and the budget required to implement the Forest Plan
that reflect the unit's priorities at given funding levels.
11.23 - Funding Codes. Working Capital Fund (WCWC), Senior Community
Employment Program (SCSC), Youth Conservation Corps (YCYC), Employment and
Training Assistance (ETCC, ETCO, ETPD), and other Human Resource Programs
are excluded from the submission requirements.
1. National Forest System.
a. Constrained Appropriations.
NF__
CN__
__RF
__RN
__TR
__TM
__GP
__FA
PROTECTION & MANAGEMENT (All except NFRI)
CONSTRUCTION APPROPRIATION (Non CIP Expenses)
RECREATION SITE CONSTRUCTION
RECREATION ROAD CONSTRUCTION
TRAIL CONSTRUCTION
TIMBER RELATED ROAD CONSTRUCTION
GENERAL PURPOSE ROAD CONSTRUCTION
FACILITY CONSTRUCTION
b. Nonconstrained Appropriations.
NF__
__RI
RBRB
ACAC
EXEX
LALW
PROTECTION & MANAGEMENT (Excludes all except)
APPROP. REFORESTATION & TSI
RANGE BETTERMENT FUND
ACQUISITION - SPECIAL ACTS
ACQUISITION - FOR LAND EXCHANGES
LAND & WATER CONSERVATION FUND
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LAWK
CWKV
CWFS
BDBD
SSSS
QMQM
PCPE
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WEEKS ACT
COOP WORK - KV
COOP WORK - OTHER
BRUSH DISPOSAL
TIMBER SALE SALVAGE FUND
OPERATION & MTCE. of QUARTERS
All PURCHASER related ROAD CONSTRUCTION (PEPE &
PUCR)
2. State & Private Forestry System.
a. Constrained Appropriations.
SP
STATE and PRIVATE FORESTRY
b. Nonconstrained Appropriations.
RCRC
RFRF
BS__
WDWD
WSWS
RCD PROJECTS
RURAL COMMUNITY FIRE PROTECTION
RIVER BASIN STUDIES
WATERSHED PLANNING
WATERSHED OPERATION
11.23a - Special Funds. The following procedure will be used to designate special
activities and/or funds which are excluded from all funding constraints.
6. Habitat Improved through Coordination. Identify activities accomplished as
an indirect benefit of a project (i.e., Wildlife Habitat Improved through Timber
Sales) in narrative only. DO NOT INCLUDE IN THE DATA FILE SUBMITTED.
7. Conservation Practices. Activities that are accomplished via conservation
practice on the National Grasslands will be identified in narrative only. DO NOT
INCLUDE IN THE DATA FILE SUBMITTED.
11.24 - Data Base Structure.
11.24a - Program Structure. The Regional PP&B process is based upon a
beginning program level (Starting Point) and a set of increments that are additive
to the Forest Plan budget level.
1. Starting Point. The Starting Point is developed from each unit's Forest Plan
budget level, exclusive of certain investment activities.
2. Increments. Set of activities that reflect the difference between the Starting
Point and the Forest Plan budget level. Each set of increments will be constrained
to a total dollar allowance.
3. Special Projects. Are programs of significance that will be provided for in
the annual instructions if any are appropriate to a given budget year.
a. Project Coding Requirement. This section is reserved for the Regionally
required coding structure:
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11.25 - Inflation. DO NOT PROGRAM FOR INFLATION in either the Forest Plan
data file of the Annual Budget submissions.
1. Recording Basis for Costs. Costs are to be reflected in constant base year
dollars as follows:
a. Forest Plan Data File. Costs will be reflected in constant base year
dollars, as specified for each period.
b. Annual Budget Data. Only experienced real cost increases, other than
salary increases, are to be reflected in the annual budget submission.
Salary estimates should be based upon salaries in effect as of the
beginning of the Pay Period #1.
11.5 - Workforce Management. Detailed development of skill information will not
normally be required in the annual budget submissions, unless specifically required
in the annual budget instructions for a specific year.
11.7 - Constraints.
Funding Constraints - The annual instructions will include a table depicting the
allowances as computed by the process outlined in section 11.21 of this supplement.
11.93 - National Forest System. Specific annual narrative requirements will be
included in the annual Regional PP&B instruction package. Each unit shall have
the opportunity to provide a short concise summary (Not over five pages) that
discusses significant budget issues. This summary should describe significant
future consequences in relation to Forest Plan schedules that are not readily
apparent in the data.