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FOREST SERVICE MANUAL
ALBUQUERQUE, NEW MEXICO
FSM 1400 – CONTROLS
CHAPTER 1410 – MANAGEMENT REVIEWS
Supplement No.: 1400-98-2
Effective Date: April 2, 1998
Duration: Effective until superseded or removed
Approved: JOHN R. KIRKPATRICK
Regional Forester
Date Approved: 04/02/1998
Posting Instructions: Supplements are numbered consecutively by Title and calendar year.
Post by document name. Remove entire document and replace with this supplement. Retain this
transmittal as the first page of this document.
New Document(s):
1410
7 Pages
Superseded Document(s):
1410
9 Pages
(Last supplement was 1400-98-1 to
FSM Zero Code.)
Digest:
1410
Updates objectives - to emphasize Federal Managers' Financial Integrity
Act compliance - policies, and procedures at Regional and Forest levels
for administering the management review system.
Updates the title of Fiscal and Public Safety to Fiscal and Accounting
Services, and the title of Deputy Regional Forester, Administration to
Deputy Regional Forester, Operations throughout the supplement.
1416.11
Codifies the Southwestern Region Review Process, a six-year
management review model, adopted in December 1996.
R3 SUPPLEMENT 1400-98-2
EFFECTIVE DATE: April 2, 1998
DURATION: Effective until superseded or removed
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FSM 1400 – CONTROLS
CHAPTER 1410 – MANAGEMENT REVIEWS
1410.2 - Objective
The management review system will be the primary method of evaluating Region 3 operations,
ensuring accountability in program performance, and adjusting performance or direction as
necessary to reasonably ensure achievement of the management goals. In addition to the broad
objectives of the Forest Service management review system listed in the Forest Service Manual
(FSM 1400 - Controls), Region 3 will use the management review system to evaluate all
programs and activities for compliance with approved Forest Land Management Plans.
Under the Federal Managers' Financial Integrity Act (FMFIA), individual Federal Managers
must take proactive and systematic measures to develop, implement, and assess appropriate,
cost-effective and adequate management controls for Federal programs and operations.
Annually, line managers must certify that any material weaknesses in management controls
either do exist or are being disclosed and addressed accordingly. A valuable tool used to identify
control weaknesses is an activity review. It is highly recommended that activity reviews and/or
functional assistance trips (FAT's) be conducted if there is no other way to assure compliance
with FMFIA.
An important objective of the Region 3 management review system is to place emphasis on
helping employees take appropriate actions to do their jobs, rather than on enforcement for
noncompliance. The Region 3 management review program will assist in identifying high
priority training needs.
1410.3 – Policy
In addition to the five national policy statements (FSM 1410.3), to the extent reasonable and
practicable, Region 3 will review performance in the following areas:
1. Carrying out our basic mission of caring for the land and serving people, through
ecology based multiple-use management.
2. Quality on-the-ground resource management, protection, and public service in
accordance with Forest land management plans.
3. Assuring there is program accountability at all organizational levels, which meets
Forest Service quality and quantity standards.
4. Assuring a high level of budget and fiscal accountability and that Region 3 meets
Congressional intent.
5. Assuring a high level of ethics and conduct by all Region 3 employees.
R3 SUPPLEMENT 1400-98-2
EFFECTIVE DATE: April 2, 1998
DURATION: Effective until superseded or removed
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FSM 1400 – CONTROLS
CHAPTER 1410 – MANAGEMENT REVIEWS
6. Seeking public input concerning Region 3 planning and projects before making
decisions.
7. Assuring that all Region 3 managers understand ecology based multiple-use
management and are managing accordingly.
8. Assuring necessary skills are developed in the Region 3 organization to meet future
needs.
9. Assuring that Forest Service Research is an active participant in helping solve land
management problems by applying the best science possible.
1410.4 - Responsibility
1. Staff Directors. Staff Directors or Regional Office team leaders will send an
electronic message to the Director of Fiscal and Accounting Services to provide the following
information:
a. The date staff work begins on a Regional Forester approved activity review (FSM
1414) or functional assistance trip (FSM 1415.1).
b. The date the team leader transmits the review report to the Deputy Regional
Forester and Forest Supervisor (FSM 1416.25).
c. The date the Regional Office line officer approves the action plan (FSM 1416.31).
Action plans are not required for functional assistance trips.
d. The date planned for actions to be certified complete (FSM 1416.32, 4).
2. Forest Supervisors. Forest Supervisors are responsible for coordinating with Staff
Directors by providing the following information:
a. Coordinating with Deputy Regional Foresters on Regional Forester's Reviews and
Cooperative Management Program Reviews.
b. Coordinating with Staff Directors when staff work begins on activity reviews and
functional assistance trips.
c. Scheduling and carrying out management reviews of Ranger Districts.
R3 SUPPLEMENT 1400-98-2
EFFECTIVE DATE: April 2, 1998
DURATION: Effective until superseded or removed
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FSM 1400 – CONTROLS
CHAPTER 1410 – MANAGEMENT REVIEWS
1410.44 - Region, Station, Area, and Institute Reviews
The following chart lists the types of reviews and the responsible officer.
Type of Review
Responsible Officer
Regional Forester's
Reviews
DeputyRegional Forester, Operations,
Deputy Regional Forester, Resources and
Deputy Regional Forester, State & Private
Forestry (SPF)
Cooperative Management
and Program Reviews
Deputy Regional Forester, Resources, and
Deputy Regional Forester, SPF
Activity Reviews
Staff Directors
Functional Assist. Trips
Staff Directors
1410.44a - Regional Foresters
The Regional Forester has designated the Director of Fiscal and Accounting Services as the
Review Program Manager. The Review Program Manager is responsible for preparing the
management review schedule each fiscal year, and for informing the Deputy Regional Foresters
of the current status of reviews. Fiscal and Accounting Services provides training for Regional
Office reviewers.
1410.44b - Reviews of State and Private Forestry and Research
1. Cooperative Management and Program Reviews. The Deputy Regional Forester of
SPF will conduct cooperative forestry assistance reviews of State forestry organizations as
described in FSM 1460.
1413 - REGIONAL FORESTER'S AND DIRECTOR'S REVIEWS.
Region 3 will use the Regional Forester's Review similar to the Chief's Overview, FSM 1411,
and Deputy Chief's Review, FSM 1412. A review of the Forest's strategic planning and actions
will also be included.
R3 SUPPLEMENT 1400-98-2
EFFECTIVE DATE: April 2, 1998
DURATION: Effective until superseded or removed
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FSM 1400 – CONTROLS
CHAPTER 1410 – MANAGEMENT REVIEWS
Regional Forester's Reviews will evaluate the effectiveness of Forest reviews, control, and
accountability on the Forest. Emphasis will be placed on reviewing the Forest to determine what
has been done in the areas of: 1) program accountability, 2) budget and fiscal accountability,
and 3) ethics and conduct.
1414 - ACTIVITY REVIEWS.
Staff Directors, in concert with Forest Supervisors, will be responsible for identifying needed
activity reviews, the length of time needed to conduct the reviews, and monitoring unit followup
to ensure recommendations are completed in a timely manner. Staff Directors will maintain a
file that displays the progress of each review. Activity reviews will be conducted according to
the Regional Forester's priorities, with consideration for the risk assessment process and adjusted
for other management needs.
Operations activity reviews will review Region 3 accountability in meeting the policy, direction,
and standards set by Federal central agencies; for example, OMB, GAO, OPM, PCIE, Treasury,
and so forth; plus the USDA agencies; for example, Office of the Inspector General.
1415 - FUNCTIONAL ASSISTANCE TRIPS AND SPECIAL WASHINGTON OFFICE
ACTION TEAMS.
1415.1 - Functional Assistance Trips. Region 3 activity reviews will be supplemented by
functional assistance trips (FAT's). Document the purposes and the results of the trips on
informal correspondence to the unit. A brief closeout discussion will be held with supervisory
staff or line officers to summarize and highlight the accomplishments of the trip.
Region 3 places great emphasis on Integrated Functional Assistance Trips in the Deputy
Regional Forester, Resources, area. These review teams will be interdisciplinary in composition.
The teams will place a major emphasis on reviewing and assisting Forest Supervisors in taking a
look at Forest Plan implementation and monitoring. The teams will also be interested in how
Region 3 deals with ecology based multiple-use management. In most cases, a formal letter,
which details agreed-to actions, is expected to assist the Forest Supervisor.
Region 3 also offers special assistance to new line officers in transition to their new positions.
The objective of this assistance is to help the new line officer get acquainted with the issues and
opportunities facing the unit, and to provide assistance in identifying adjustments and strategies
for favorably positioning their unit.
1416 - PLANNING, CONDUCTING AND TAKING ACTIONS ON REVIEWS.
R3 SUPPLEMENT 1400-98-2
EFFECTIVE DATE: April 2, 1998
DURATION: Effective until superseded or removed
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1416.11 - Annual Schedule.
The Region adopted a six-year management review model, 1416.11 Exhibit 01, in December
1996. This model places the responsibility for activity reviews and FATs at the discretion of
Forest Supervisors, and Regional Office Directors.
R3 SUPPLEMENT 1400-98-2
EFFECTIVE DATE: April 2, 1998
DURATION: Effective until superseded or removed
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FSM 1400 – CONTROLS
CHAPTER 1410 – MANAGEMENT REVIEWS
1416.11 - Exhibit 01
SOUTHWESTERN REGION REVIEW PROCESS
FISCAL YEAR 1997
We will conduct a joint Regional Forester's Review of the Santa Fe and Cibola National
Forests.
We will conduct legally required fiscal and accounting reviews.
We will conduct activity reviews that were proposed on the Regional Schedule and found
to be essential for completion in FY97.
FISCAL YEAR 1998
We will conduct activity reviews and functional assistance trips. The emphasis will be
on functional assistance trips, where feasible.
Activity reviews and functional assistance trips will be unscheduled and at the
discretionary request of either a Forest Supervisor or a Regional Office Director.
We will conduct legally required fiscal and accounting reviews.
FISCAL YEAR 1999
We will conduct a state-wide pilot Regional Forester's review of Arizona.
We will conduct legally required fiscal and accounting reviews.
We will not conduct any other reviews.
FISCAL YEARS 2000 AND 2001
Same as fiscal year 1998.
FISCAL YEAR 2002 (Assuming FY99 pilot year worked)
We will conduct a state-wide Regional Forester's review of New Mexico.
R3 SUPPLEMENT 1400-98-2
EFFECTIVE DATE: April 2, 1998
DURATION: Effective until superseded or removed
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FSM 1400 – CONTROLS
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We will conduct legally required fiscal and accounting reviews.
We will not conduct any other reviews.
1416.11 - Exhibit 01--Continued
DURING THE SIX-YEAR IMPLEMENTATION, FISCAL AND ACCOUNTING SERVICES
WILL PROVIDE THE RLT A REPORT OF REVIEWS CONDUCTED AT THE END OF THE
THIRD AND SIXTH YEARS. THE RLT WILL REVIEW AND DISCUSS THIS REPORT TO
ENSURE THAT WE ARE PROVIDING ADEQUATE MONITORING OF OUR ACTIVITIES
FOR ACCOUNTABILITY PURPOSES. THIS REPORT WOULD ADDRESS FORMAL
REVIEWS. DIRECTORS SHALL TRACK FUNCTIONAL ASSISTANCE TRIPS AND
MAINTAIN THE DOCUMENTATION FILE FOR THEM. THE EXPECTATION IS THAT
DOCUMENTATION OF FUNCTIONAL ASSISTANCE TRIPS WILL GENERALLY BE
BRIEF (1-3 PAGES).
Annually by July 1, Forest Supervisors and Staff Directors will send their schedules to the
Director of Fiscal and Accounting Services for activity reviews and functional assistance trips to
be conducted the following fiscal year. Functional assistance trips (FSM 1415) will be included
as part of the annual schedule.
Forest Supervisors will plan and schedule management reviews of Ranger Districts.
Use the following priorities and direction:
1. Regional Forester's Reviews of Forests are first priority.
2. Forest Supervisor's Reviews of Ranger Districts are second priority.
3. The Regional Forester or Deputy Regional Foresters may decide on other management
reviews as needed, after consulting with the Forest Supervisors.
Fiscal and Accounting Services will provide a status report in April concerning the progress in
meeting the management review schedule. This will allow the Regional Forester and Deputy
Regional Foresters to assess the progress of the Region's program accountability.
1416.13 - Team Structure.
An employee from another Forest may be included on Regional Office and Forest Supervisor
review teams. Most Regional Office Resources review teams will be interdisciplinary to provide
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EFFECTIVE DATE: April 2, 1998
DURATION: Effective until superseded or removed
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FSM 1400 – CONTROLS
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an integrated review of ecology based multiple-use management and the implementation and
monitoring of Forest land management plans.
1416.2 - Conducting Reviews.
1416.25 - Review Report.
The team leaders of Regional Office-conducted activity reviews will be responsible for
completing the review report and sending it to the appropriate Deputy Regional Forester and
Forest Supervisor in a reasonable time. The team leader of the Regional Forester's Review will
transmit the report to the Regional Forester and the Forest Supervisor. The Regional Forester
will review all Regional Office-conducted activity review reports and action plans.
1416.3 - Planning and Taking Action.
1416.31 - Action Plan.
Forest Supervisors will be responsible for drafting and presenting proposed action plans to the
Regional Office for approval. The Regional Forester will decide, for Regional Forester's
Reviews, whether a joint action planning meeting is needed. Deputy Regional Foresters will
make the decision for activity reviews. Functional assistance trips may or may not have an
action plan, depending on the circumstances and the desire of the team leader.
1416.32 - Followup.
The review team leader is responsible for ensuring that all items in the review process are
completed in a timely manner.
In the event the team leader retires, transfers, or is otherwise unable to complete the review, the
Regional Forester will designate another team leader for Regional Forester's Reviews. The
Deputy Regional Foresters will designate another team leader to complete the review for activity
reviews. Staff Directors will designate someone to ensure functional assistance trips are
documented, and follow up on those with action plans.
1416.33 - Review File.
1. Fiscal and Accounting Services will maintain the official file for:
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EFFECTIVE DATE: April 2, 1998
DURATION: Effective until superseded or removed
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a. Chief's Overviews conducted in Region 3 by the Chief.
b. Deputy Chief's Reviews conducted in Region 3 by a Deputy Chief.
c. Special Washington Office action teams conducted in Region 3 by a Deputy Chief
(or Chief).
2. Staff Directors will maintain the official file for activity reviews and functional
assistance trips conducted in Region 3 by Chief's Office Staff Directors.
3. Fiscal and Accounting Services will maintain the official file for each Regional
Forester's Review conducted by the Regional Forester or the Deputy Regional Foresters.
4. Staff Directors will furnish Fiscal and Accounting Services the information shown in
FSM 1416.33 for the official file of activity reviews they conduct in Region 3.
5. Staff Directors will maintain the official file of functional assistance trips conducted
of Forests by the Regional Office.
6. Forest Supervisors will maintain files of all Forest Supervisor's Reviews and activity
reviews conducted by the Forest, as well as documentation concerning functional assistance
trips.
1417 - YEAREND REPORT ON MANAGEMENT CONTROL.
1417.1 - Unit Reports.
Annually by August 1, Forest Supervisors and Staff Directors will send their reports to Fiscal
and Accounting Services for consolidating and presenting to the Regional Forester and the
Deputy Regional Foresters. This report is sent to the Chief. The Secretary of Agriculture
incorporates the Chief's report into the Department's yearend report to the President and
Congress.
The Staff's or Forest's report must extract from the year's management reviews, audits, and other
special reviews of Forest Service activities, any findings that in the line officer's judgment
constitute significant management control weaknesses. Only those controls determined to be a
material control weakness should be reported. See FSM 1417.1, Exhibits 01 and 02, for
examples of suggested formats to report this information. Questions may be directed to the
Assistant Director for Review and Analysis, Fiscal and Accounting Services.
R3 SUPPLEMENT 1400-98-2
EFFECTIVE DATE: April 2, 1998
DURATION: Effective until superseded or removed
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1418 - RISK ASSESSMENT.
1418.2 - Conducting the National Assessment.
Fiscal and Accounting Services will take the leadership in conducting the Regional Risk
Assessment once every 5 years. Staff Directors will provide assistance when called upon. The
Deputy Regional Foresters and Regional Forester will approve the assessment before it is sent to
the Chief.
1418.3 - Using the Risk Assessment.
Staff Directors and Forest Supervisors should use the national risk assessment, plus knowledge
of Region 3 activities, when setting priorities for Regional Office conducted activity reviews and
functional assistance trips. The next Region 3 Risk Assessment will be published as a Regional
Supplement.