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TOC \o "1-3" \h \z \u HYPERLINK \l "_Toc180463883" 1110.2 - Objectives PAGEREF _Toc180463883 \h 3
HYPERLINK \l "_Toc180463884" 1110.3 - Policy PAGEREF _Toc180463884 \h 3
HYPERLINK \l "_Toc180463885" 1110.4 - Responsibility PAGEREF _Toc180463885 \h 4
HYPERLINK \l "_Toc180463886" 1110.41 - Directive Managers PAGEREF _Toc180463886 \h 4
HYPERLINK \l "_Toc180463887" 1110.41a - Servicewide Directive Manager PAGEREF _Toc180463887 \h 4
HYPERLINK \l "_Toc180463888" 1110.41b - Field Unit Directive Managers PAGEREF _Toc180463888 \h 4
HYPERLINK \l "_Toc180463889" 1110.6 - Zero Code PAGEREF _Toc180463889 \h 4
HYPERLINK \l "_Toc180463890" 1110.7 - Establishment and Use of Directive Codes PAGEREF _Toc180463890 \h 5
HYPERLINK \l "_Toc180463891" 1110.71 - Coding of Field Unit Directives PAGEREF _Toc180463891 \h 5
HYPERLINK \l "_Toc180463892" 1110.72 - Field Unit Requests for Additional Codes PAGEREF _Toc180463892 \h 5
HYPERLINK \l "_Toc180463893" 1110.73 - Establishment of Reserved Codes PAGEREF _Toc180463893 \h 6
HYPERLINK \l "_Toc180463894" 1110.8 - Degree of Compliance or Restriction in Directives PAGEREF _Toc180463894 \h 6
HYPERLINK \l "_Toc180463895" 1111 - MANUAL DIRECTION PAGEREF _Toc180463895 \h 8
HYPERLINK \l "_Toc180463896" 1111.02 - Objective PAGEREF _Toc180463896 \h 8
HYPERLINK \l "_Toc180463897" 1111.03 - Policy PAGEREF _Toc180463897 \h 8
HYPERLINK \l "_Toc180463898" 1111.1 - Principles and Guidelines for Developing and Reviewing Manual Text PAGEREF _Toc180463898 \h 8
HYPERLINK \l "_Toc180463899" 1111.2 - Manual Structure and Coding PAGEREF _Toc180463899 \h 9
HYPERLINK \l "_Toc180463900" 1112 - HANDBOOK DIRECTION PAGEREF _Toc180463900 \h 10
HYPERLINK \l "_Toc180463901" 1112.02 - Objective PAGEREF _Toc180463901 \h 10
HYPERLINK \l "_Toc180463902" 1112.03 - Policy PAGEREF _Toc180463902 \h 10
HYPERLINK \l "_Toc180463903" 1112.1 - Principles and Guidelines for Developing and Reviewing Handbook Text PAGEREF _Toc180463903 \h 11
HYPERLINK \l "_Toc180463904" 1112.2 - Handbook Structure and Coding PAGEREF _Toc180463904 \h 12
HYPERLINK \l "_Toc180463905" 1112.21 - Title Codes PAGEREF _Toc180463905 \h 12
HYPERLINK \l "_Toc180463906" 1112.22 - Text Codes PAGEREF _Toc180463906 \h 12
HYPERLINK \l "_Toc180463907" 1113 - ISSUANCE STANDARDS AND TYPES PAGEREF _Toc180463907 \h 13
HYPERLINK \l "_Toc180463908" 1113.1 - Parent Material PAGEREF _Toc180463908 \h 13
HYPERLINK \l "_Toc180463909" 1113.2 - Supplements PAGEREF _Toc180463909 \h 13
HYPERLINK \l "_Toc180463910" 1113.3 - Interim Directives PAGEREF _Toc180463910 \h 15
HYPERLINK \l "_Toc180463911" 1113.31 - Standards for Interim Directives PAGEREF _Toc180463911 \h 16
HYPERLINK \l "_Toc180463912" 1113.32 - Duration and Reissuance of Interim Directives PAGEREF _Toc180463912 \h 16
HYPERLINK \l "_Toc180463913" 1113.4 - Effective Date of Issuances PAGEREF _Toc180463913 \h 17
HYPERLINK \l "_Toc180463914" 1113.41 - Determining Future Effective Dates for Directives PAGEREF _Toc180463914 \h 17
HYPERLINK \l "_Toc180463915" 1113.42 - Display of Issuance Dates PAGEREF _Toc180463915 \h 17
HYPERLINK \l "_Toc180463916" 1114 - CURRENCY OF DIRECTIVE SYSTEM PAGEREF _Toc180463916 \h 18
HYPERLINK \l "_Toc180463917" 1114.01 - Authority [Reserved] PAGEREF _Toc180463917 \h 18
HYPERLINK \l "_Toc180463918" 1114.03 - Policy PAGEREF _Toc180463918 \h 18
HYPERLINK \l "_Toc180463919" 1114.04 - Responsibility PAGEREF _Toc180463919 \h 18
HYPERLINK \l "_Toc180463920" 1114.04a - Washington Office PAGEREF _Toc180463920 \h 18
HYPERLINK \l "_Toc180463921" 1114.04b - Field Units PAGEREF _Toc180463921 \h 19
HYPERLINK \l "_Toc180463922" 1114.1 - Currency Reviews PAGEREF _Toc180463922 \h 19
HYPERLINK \l "_Toc180463923" 1114.11 - Criteria for Currency Reviews PAGEREF _Toc180463923 \h 19
HYPERLINK \l "_Toc180463924" 1114.12 - Review Schedules PAGEREF _Toc180463924 \h 20
HYPERLINK \l "_Toc180463925" 1114.13 - Timeframes for Incorporating Changes in Names of Units and Positions PAGEREF _Toc180463925 \h 20
1110.2 - Objectives
The objectives of maintaining the Directive System structure and establishing and enforcing Directive System standards are to:
1. Identify direction essential for Forest Service employees to administer and control agency programs and activities.
2. Classify and target needed direction to the appropriate employee audience and thus, to the appropriate component of the Directive System.
3. Provide efficient means to supplement and revise current direction.
4. Maintain the currency of direction.
5. Hold direction to the minimum necessary to fulfill the Forest Service mission.
1110.3 - Policy
1. The Directive System has two components: (a) the Forest Service Manual (FSM) and (b) Forest Service Handbooks (FSHs), with each consisting of amendments, supplements, interim directives, and transmittals. Each component represents a distinct and integral part of the overall system for coding, storing, and retrieving direction.
2. The primary determinants of whether a directive belongs in the manual or in a handbook are the intended audience or user and the scope and nature of the direction. See FSM 1111 and 1112, respectively, for a description of direction appropriate to the manual and handbook and the intended audience of each.
3. When a directive is issued, its force and effect do not depend upon the component of the Directive System to which the directive is issued; rather, it is the use of the helping verbs "must," "shall," "ought," "should," or "may," or the use of the imperative mood (where "you" is understood) that determines the force and effect of the direction (sec. 1105.1). These words have the same force and effect whether they are used in a manual directive or in a handbook directive. Refer to FSM 1110.8 for guidance on the degree of compliance and restriction imposed by helping verbs and imperative mood.
4. In issuing direction, line officers shall maintain the integrity of the approved directive coding scheme and organizational structure. Line officers are not to knowingly issue direction that belongs in the Directive System through alternative means. See policy on the appropriate means of issuing direction in FSM 1103 (para. 1b).
5. Directives cannot be issued with handwritten, pen-and-ink changes, or with language that would, in effect, result in pen-and-ink changes. Library and master sets must not contain handwritten marks or notes.
6. Upon receipt of a directive issued by a higher level of the Agency, field unit program managers must review and reverse as necessary unit directive issuances, such as supplements and interim directives, to ensure consistency with the new direction.
1110.4 - Responsibility
1110.41 - Directive Managers
1110.41a - Servicewide Directive Manager
The Servicewide Directive Manager (FSM 1104.41) is responsible for and the final authority on:
1. Determining whether material should be assigned to the manual or to handbooks or whether material is nondirective and, therefore, inappropriate for issuance in the Directive System.
2. Determining whether directive-type material issued through other media belong in the Directive System and informing managers of the need to prepare the necessary directives.
3. Establishing new codes or changing existing codes in the manual and servicewide handbooks.
4. Determining whether direction issued by agencies outside the Forest Service should be incorporated into the Directive System as an external handbook (FSM 1112.1).
1110.41b - Field Unit Directive Managers
Directive managers in field units have the authority and responsibility for determining whether field issuances should be placed in the manual or handbooks, for determining if material issued outside the manual and handbooks belongs in the Directive System, and for determining whether material is nondirective and, therefore, inappropriate for issuance in the Directive System. Field unit Directive Managers also have final authority within their units to approve the coding of field supplements, amendments, or interim directives.
1110.6 - Zero Code
The directive coding scheme provides a unique coding scheme, called "zero code," to set forth broad direction, such as authorities, objectives, and policies (FSM 1105). Zero code direction applies to all subsequent direction within a series, title, chapter, or section.
Directives may not depart from the pre-established subject matter, order of presentation, and coding of zero code material. See FSH 1109.12, Directive System Handbook, section 12.3, for the content requirements and standards for each zero code by subject headings.
1110.7 - Establishment and Use of Directive Codes
See FSH 1109.12, section 51, for a list of current codes and captions for manual series, titles, and chapters and handbook titles. An electronic list of current codes and captions, which is frequently updated, is also available from the Washington Office directives home page on the FSWeb/Intranet (fsweb.wo.fs.fed.us/directives/index.html/user_aids/html) and the World Wide Web/Internet (www.fs.fed.us.im/directives/dughtml/user_aids.html).
1110.71 - Coding of Field Unit Directives
1. Supplements and interim directives issued by field units shall use only the coding established in the parent text, including reserved codes. While subordinate units may not alter or add to the codes and captions contained in the parent text, units may add enumerated paragraphs with captions within an established code to meet local requirements. For example, a field unit supplement to this section (FSM 1110.71) could add paragraphs a, b, and so on to paragraphs 1-3, and could add new paragraphs 4, 5, and 6; however, a field unit could not add a new code FSM 1110.71a.
2. If existing codes are not adequate, field unit Directive Managers may request that the Servicewide Directive Manager reserve codes for field supplementation (FSM 1110.72).
3. Unit line officers may issue unit handbooks only under codes established by the Washington Office in Forest Service Manual title zero codes (09). Where unit handbooks are authorized, field Directive Managers have full authority to establish the internal coding of such handbooks, but the coding must follow the national standards established for handbook coding.
1110.72 - Field Unit Requests for Additional Codes
If a new code is needed in the parent text to facilitate issuance of a field unit supplement or if a unit Handbook code is needed, the region, station, Area, or institute directive manager must submit a request to the attention of the Servicewide Directive Manager, Office of Regulatory and Management Services, Washington Office. The request should describe the content of the direction to be issued at the proposed code and explain why existing codes are inadequate.
1. Upon receipt, the Servicewide Directive Manager shall review the request within 30 days and determine if the proposed coding is consistent with the content and structure of the Directive System.
2. If the proposed coding is acceptable, the Servicewide Directive Manager shall so notify the requesting unit; prepare an amendment to the appropriate chapter; and forward it for concurrence by the staff having primary responsibility for the subject matter. Unless the proposed coding involves a highly sensitive subject or issue, such amendments do not require line officer approval (FSM 1104.4).
3. If the national directive manager does not concur with the coding request, the national directive manager shall consult with the staff having primary responsibility over the direction before preparing an official response denying the code to the requesting unit.
1110.73 - Establishment of Reserved Codes
Reserved codes are established only through amendment of the appropriate chapter. Where codes and captions are reserved, subordinate units may issue direction at these codes, if necessary. (For further direction on reserving codes, see FSM 1110.72 and FSH 1109.12, section 12.4.)
1110.8 - Degree of Compliance or Restriction in Directives
Directive authors must choose verbs carefully to ensure that the degree of compliance is consistent with principles and guidelines for direction at FSM 1111.1 and 1112.1.
Exhibit 01 explains the degree of compliance as conveyed by various helping verbs as well as by use of the imperative mood.
1110.8 - Exhibit 01
Degree of Compliance or Restriction
Helping VerbsDegree of Compliance or Restrictionmust, shallAction is mandatory and full compliance is required, unless specifically waived in accordance with FSM 1103.
Note: Do not use shall to command inanimate objects. For example, it is incorrect to say: The plan shall contain . . . ;should, oughtAction is mandatory, unless a justifiable reason exists for not taking action. The use of should and ought signals that the directive originator recognizes that extenuating circumstances are likely to occur at times.may notAction is prohibited.may onlyAction is permitted only in the circumstance(s) described. Often used in delegating authority or limiting delegated authority.mayAction is optional.willThis verb does not convey a degree of restriction or mandate action. The use of will applies only to a statement of future condition or an expression of time. Do not use in place of shall or must.canThis verb is not directive; it expresses inherent capability.Mood of VerbDegree of Compliance or RestrictionimperativeDirection written with a verb in the imperative mood is also mandatory. For example: Ensure cost-efficient delivery of services. In this sentence, the missing subject is understood to be you and the direction (ensure cost-efficient delivery of services) is a direct command meaning you shall ensure. The verb ensure, is in the imperative mood. Where there are multiple audiences of a directive (such as line officers and staff officers), use of the imperative verb is appropriate only if it applies to all segments of the audience.
1111 - MANUAL DIRECTION
1111.02 - Objective
To provide in one location all continuing, basic, and broad direction needed by Forest Service line officers and primary staff to implement and control, monitor, and adjust Forest Service programs and activities.
1111.03 - Policy
The manual is the basic and ruling component of the Directive System and the principal administrative source of continuing direction for the conduct of Forest Service programs and activities. Line officers, directive managers, and directive authors shall ensure that direction issued in the manual is direction appropriate to line officers and primary staff officers, not to first line supervisors or specialists; however, manual policy and direction have applicability to all employees.
1111.1 - Principles and Guidelines for Developing and Reviewing Manual Text
In addition to meeting the requirements of FSM 1103 and 1110.3, authors, directive managers, primary staff, and line officers shall develop, analyze, and/or review manual material to ensure that it complies with the following principles and guidelines:
1. Focus on a management-by-objectives approach.
a. Make clear the desired results; minimize procedural details.
b. Trust and rely on the professional judgment and competence of field employees; therefore, permit operating flexibility and discretion in achieving results as local situations and conditions warrant.
2. Limit policy and direction to that needed by line officers and primary staff.
3. Keep work standards to the minimum necessary to meet minimum legal requirements or basic agency management objectives.
4. Critically question the need for existing systems, processes, and reports, and eliminate those for which there is questionable need. Modify existing systems to reduce costs and increase efficiency (FSM 1390).
5. Limit explanatory material, philosophy, history, and general information to only that which is essential to make clear the results expected.
6. Use cross-references to reduce redundancy of planning and environmental analysis direction and other material contained elsewhere in the manual. Do not repeat statements of role, responsibility, and authority found in FSM 1000, 1100, 1200, 1300, 1400, and 1900.
7. Ensure that manual resource direction is compatible with the requirements of strategic and program planning processes (Resource Program and Assessment (RPA), Government Performance and Results Act (GPRA) processes, forest plans, research plans, and State forest resource plans). Reinforce the planning, analysis, and National Environmental Policy Act (NEPA) processes set out in FSM title 1900 as the basic approach to local resource decisions; therefore, to the extent possible, do not make standard, servicewide resource decisions in the manual. Write manual direction broadly enough to:
a. Permit formulation and consideration of appropriate resource management alternatives;
b. Minimize restrictions on decisions to be made in forest plans.
c. Avoid issuing direction that conflicts with decisions in existing plans.
8. Write in the active voice.
9. Follow the required manual content standards. Clearly distinguish between authorities, policies, and objectives in zero code material (FSH 1109.12, sec. 12.3).
1111.2 - Manual Structure and Coding
Organize manual direction by series, title, chapter, and section. Fully integrate codes and captions in the manuals and handbooks. Cross reference with filing codes. Primary file codes and captions are organized in the same manner as manual and handbook chapter codes and captions. All new file codes (filing schedules) must be approved by the National Archives and Records Administration prior to use (FSH 6209.11). In addition to any zero codes (FSM 1110.6 and FSH 1109.12, sec. 12.3) assigned to a series, each series is subdivided into various titles, which are further subdivided into chapters. Chapters are then organized into sections.
Each element (series, title, chapter, and section) is assigned a numerical code (4- to 6-digit alpha-numeric system) and a subject matter heading (caption). See FSH 1109.12, section 12.5, exhibit 02, which illustrates the organization of the manual, displaying all series, then illustrating subdivisions into sections within one title.
Exhibit 01 to FSH 1109.12, section 51, lists codes and captions for the entire manual by series, title, and chapter and for all handbook titles. This list does not include codes and captions below the chapter level for the manual and it does not include chapters for handbooks.
1112 - HANDBOOK DIRECTION
Forest Service Handbooks contain detailed procedures, standards, practices, and techniques to be used primarily by technicians and specialists in the field. Forest Service Handbooks include both those prepared internally as well as widely used external directives.
1112.02 - Objective
To furnish guidance and instructions needed on a continuing basis for conducting specialized activities in more than one unit.
1112.03 - Policy
1. Forest Service Handbooks (FSH) complement the Forest Service Manual (FSM). They are the principal source of specialized guidance and instruction for carrying out direction issued in the manual.
2. Employees should follow direction in handbooks, unless there are good reasons for not doing so. (Refer to FSM 1103, paragraphs 6 and 7 for broad direction on departure from established direction; refer to FSM 1105 for the definition of direction; and refer to FSM 1110.8 for direction on the degree of compliance expressed by helping verbs and imperative mood.)
3. Specialists and technicians are the primary audience of handbook direction. Some handbooks include significant procedural direction needed by line officers and/or primary staff officers. Examples include handbooks on land and resource management planning, appeals, litigation, and environmental analysis procedures.
4. Issuing units should review existing handbook direction against proposed amendments to the manual and process any conforming amendments to the handbook simultaneously. Receiving units should review their supplements to handbooks upon receipt of new manual or handbook amendments and should promptly conform direction as necessary.
5. Ensure that handbook direction is consistent with the agency's mission, vision, and guiding principles set forth in FSM 1020.
6. Direction issued by agencies outside the Forest Service may be incorporated as an external handbook only if the Forest Service needs to issue servicewide supplements and interim directives (ID's) to such direction on a continuing basis. For example, the Forest Service issues supplements and ID's to the Department Personnel Manual, which has
been incorporated as FSH 6109.41. The Servicewide Directive Manager, Office of Regulatory and Management Services,Washington Office, has the final authority for determining whether to incorporate an external handbook into the Directive System (FSM 1110.4). (See FSM 1112.21, 1112.22, and FSH 1109.12, sections 12.2-12.3 for further direction on coding of external handbooks.)
1112.1 - Principles and Guidelines for Developing and Reviewing Handbook Text
Line officers should be aware of handbooks with content that require a specific action to be taken. In approving handbook directives, line officers are responsible for critically questioning the need for mandatory requirements.
1. Emphasize that the degree of compliance required by a handbook depends on the language used (helping verbs and imperative mood; FSM 1110.8). As a general rule, internal handbooks should offer guidance rather than impose mandatory requirements. Therefore, limit the mandatory action imposed in internal handbooks to that essential to meet legal requirements and carry out basic program objectives.
a. Rely on the judgment and professional competence of field personnel to carry out specialized tasks and to meet work standards. Wherever possible, provide employees latitude and flexibility in performing specialized tasks to respond to local situations and conditions.
b. Ensure that, to the maximum extent practicable, procedural guidance is provided rather than mandate compulsory procedures for carrying out assigned responsibilities.
2. Ensure that handbook direction does not conflict with or repeat direction issued in the manual. Limit objectives, policies, responsibilities, and delegations to the specialized tasks covered by a handbook.
3. Do not issue material that aims to orient or train employees. Handbooks must not serve as basic textbooks in specialized subject areas. Use technical publications or other available media for disseminating educational information.
4. Keep work standards to the minimum necessary to meet minimum legal requirements or basic agency management objectives.
5. Limit explanatory material, philosophy, history, and general information to only that essential to make clear the results expected.
6. Use cross-references to reduce redundancy of planning and environmental analysis direction and other material contained elsewhere in the manual and handbooks. Do not repeat statements of role, responsibility, and authority found in FSM 1000, 1100, 1200, 1300, 1400, and 1900 and elsewhere in the manual and handbooks.
7. Write in the active voice.
8. Follow the required standards for handbook content. Clearly distinguish between authorities, policies, and objectives in zero code material (FSH 1109.12, sec. 12.3).
1112.2 - Handbook Structure and Coding
1112.21 - Title Codes
Both internal and external handbooks authorized as part of the Directive System are coded in the title zero code of the Forest Service Manual (FSM) title to which they relate (FSM 1106).
1. Servicewide Internal Handbooks. These are identified by either a 1, 5, or 6 in the first decimal place following the 09 handbook designation. These handbooks are used at all levels in the Forest Service; for example, FSH 6209.11, Records Management Handbook.
2. Internal Unit Handbooks. These are identified by a 2 in the first decimal place following the 09 Handbook designation. These handbooks are issued by the Washington Office, Regions, Stations, Area, or Institute for their own internal unit operations; for example, FSH 6209.21, Office Procedures Handbook. (For related direction on establishment and use of codes, including coding of field unit handbooks, see FSM 1110.7.)
3. External Handbooks. External handbooks are composed of direction issued by other agencies through their regulations, manuals, or handbooks that are assigned codes as external handbooks and become part of the Forest Service Directive System. In the Forest Service Directive System, these external handbooks are identified by a 3 or 4 in the first decimal place following the 09 designation. For example, the Department Personnel Manual issued by the U. S. Department of Agriculture has been incorporated as an external handbook, FSH 6109.41. (See FSM 1112.03, paragraph 6, for the policy on when it is appropriate to incorporate external direction as a Forest Service Handbook.)
1112.22 - Text Codes
1. Internal Handbooks. Internal handbook text is coded using a 2- to 5-digit alphanumeric system, depending upon the scope of subject matter to be covered. See FSH 1109.12, Directive System Handbook, sections 12.2-12.3 for a detailed description of FSH coding schemes.
2. External Handbooks. The coding scheme of an external handbook is developed by the agency that originates the parent text. Forest Service supplements to external handbooks follow the coding structure of the parent text.
1113 - ISSUANCE STANDARDS AND TYPES
1113.1 - Parent Material
Parent material constitutes the baseline direction for a program or activity and is issued by the highest level unit authorized to issue instructions in a given subject area. Examples include servicewide amendments issued to the Forest Service Manual or Handbook or the basic installments issued by the U.S. Department of Agriculture to the Department Personnel Manual. A Forest Service unit handbook issued by a Regional Forester or Station Director also is considered parent material. Parent material may be added to, revised, or removed by the issuing unit, as well as supplemented by subordinate units.
Amendments remain in force until removed, superseded by a subsequent amendment, or temporarily superseded by an interim directive.
1113.2 - Supplements
1. Subordinate units may issue supplements to conform the activities of the subordinate unit to the directives issued by higher echelons of the organization. For example, at the servicewide level, supplements are issued only to external handbooks (such as the Department Personnel Manual, FSH 6109.41). Field unit supplements may only be issued to codes in the Forest Service Manual and Handbooks, including external handbooks. Subordinate units should avoid issuing supplements to a subject area or code not addressed by the next higher level unless the direction is critical to:
a. Meeting local management needs or
b. Ensuring local compliance with law or regulation when the next higher level declines or fails to issue the needed direction in a timely manner.
2. Supplements may be more restrictive than parent material. However, supplements cannot expand the authorities or relax restrictions established by a higher administrative level, unless approved in writing by the line officer at the higher level. Direct any such request to the attention of the directive manager who would coordinate the response with the appropriate staff and line officer. A copy of this approval must be included in the official directive record file maintained by the Directive Manager (FSH 1109.12, secs. 23 and 24).
3. The content and coding of supplements must conform to the policies and standards that govern the Directive System as a whole. Direction issued in a supplement must be supplemental to, not repetitive of, direction issued in the parent text.
4. Where Forest Service units are co-located and one unit provides administrative support services to the other, those units may issue a joint supplement for distribution to their subunits. Joint supplements require approval and signature of the responsible line officer in each unit if both line officers retain the delegated authority to direct and control the programs or activities covered by the joint supplement.
a. Where co-located units are not of equivalent organizational stature (for example, a station and a forest), issue joint supplements on the colored paper required for the higher unit (ex. 01).
b. Where the Forest Service and another Federal agency are co-located and operate under cross-delegations (FSM 1237), the units cannot issue a single joint directive as each agency has its own Directive System.
5. Adjoining regions may develop directives jointly; for example, unit handbooks or supplements to servicewide handbooks. Each Regional Forester must separately approve such jointly developed issuances and each region must distribute the directive separately under its own name.
6. Where parent text continues to be issued in paper format, issue supplements on color-coded paper to identify the level issuing the supplement and to distinguish supplements from the parent material, which is issued on white paper. Ensure that supplements posted to master sets are also on color-coded paper. Exhibit 01 shows the color code scheme for supplements. Further direction on posting is in FSH 1109.12, chapter 40.
1113.2 - Exhibit 01
Color Scheme for Supplements Issued in Paper
Office Issuing SupplementPaper Color of Supplement to External HandbooksPaper Color of Supplement to FSM or FSHUSDAYellow-Forest Service, Washington OfficeBuff-Region, Station, Area, or InstituteBlueBlueForestGreenGreenNOTE: All interim directives are printed on pink paper.
1113.3 - Interim Directives
Interim directives (IDs) are temporary issuances that allow units to quickly issue needed direction of a continuing nature affecting more than one unit or to test new procedures and policies.
1. Issuance of interim direction should be the exception, not the rule. Units should plan for issuance of new or revised direction to allow, wherever possible, for direction to be issued through amendments and supplements.
2. Where IDs appear necessary, authoring staffs shall give the unit directive manager adequate advance notice of any need to issue direction quickly so that the directive manager can adjust directive processing schedules to ensure timely issuance of the IDs or alternatively, in compelling circumstances, to expedite issuance of amendments and supplements.
3. The unit directive manager shall give notice, preferably in writing, to the responsible staff and line officers of any proposed ID that does not meet the criteria or requirements of FSM 1113.3-1113.32.
a. Limit the use of IDs to those situations where there is a compelling need to:
(1) Promptly convey direction urgently needed for immediate use or needed more quickly than the material can be issued as amendments or supplements.
(2) Meet statutory or court-ordered deadlines.
(3) Ensure that Forest Service employees promptly receive essential direction required to implement a new statute or program, to comply with a court decision, or to effect a major policy change.
(4) Transmit new instructions on a trial basis to determine if they are sound.
(5) Transmit direction that requires frequent updating. Examples of such direction include fee schedules that are updated annually and authorizations for programs that are contained in the agency's annual budget appropriations.
(6) Avoid burdensome reprinting and posting of manual or handbook documents, especially if the parent text needs substantial updating. Only the Directive Manager may authorize an ID for the reason set out in this paragraph.
b. Do not use IDs to issue review drafts, administratively confidential material, or temporary instructions, such as one-time requests. Convey these materials through official correspondence.
1113.31 - Standards for Interim Directives
1. An interim directive (ID) may contain new or revised material or may supersede existing directives. An ID may not contain instructions to remove parent material or instructions that order "pen-and-ink" changes (FSM 1110.3) in previously issued text.
2. If interim direction affects more than one chapter or more than one series or title, prepare a separate ID for each element so affected. Unless an ID constitutes an entire handbook--a rarely approved occurrence--it must be confined to one chapter of a handbook.
3. To avoid retyping, reprinting, and/or redistribution costs, units, as a general rule, may not issue entire chapters of the manual or entire handbooks as IDs.
4. To expedite preparation, IDs should use broad coding as much as possible; however, where existing codes are not adequate to permit issuance of an ID, the Servicewide Directive Manager, Office of Regulatory and Management Services, Washington Office, can approve establishment of new codes in the parent text.
5. For posting to paper master sets of the Directive System, IDs are printed on pink paper.
6. To the extent practicable under the circumstances, an ID should comply with the content standards applicable to manual and handbook direction (FSM 1111 and 1112).
7. Field units that need to issue direction related to a servicewide ID must issue an ID also, not a supplement. Such field-level IDs must have the same expiration date as the servicewide ID. When the servicewide ID is removed, reissued, or incorporated into parent text by amendment or supplement, the field unit ID must be reviewed, and the appropriate steps taken to make the field direction conform with servicewide direction (such as removing or reissuing the field ID or incorporating it into a supplement).
1113.32 - Duration and Reissuance of Interim Directives
An interim directive (ID) has a maximum duration of up to 18 months. The expiration date may be less than the maximum 18-month duration where there is a clear need for the limited duration.
An ID may be reissued only once; thus, direction may be issued as an ID for no more than 36 months total. An ID initially issued for less than 18 months can only be reissued for an additional 18 months even if this results in less than a 36-month period.
Interim directives must display an expiration date in the heading of the document.
Upon expiration of an ID, the direction is no longer in force, and Directive Managers shall remove the ID from the system promptly. Unless an ID has been removed or superseded prior to its expiration date or is no longer needed, the authoring unit must incorporate the interim direction into parent text or reissue the interim directive by the time the 18-month period expires. Line Officers shall not instruct units to continue to comply with the direction in an expired ID.
1113.4 - Effective Date of Issuances
The effective date of a directive is the date on which Forest Service employees are expected to comply with or to implement new direction. This is the date the directive is signed by the line officer indicating approval. Directives cannot be "backdated" or made retroactive. Provide a specific future effective date within a reasonable time after a directive is signed by the line officer for situations when employees need to make changes to comply with new direction.
1113.41 - Determining Future Effective Dates for Directives
To ensure that Forest Service employees receive directives prior to their effective date, when changes must be made to comply with new direction, amendments, supplements, and interim directives (IDs) are to be made effective at least 15 working days after the date the directive is signed by the line officer, unless one of the following circumstances exists:
1. A later effective date is necessary to allow adequate time for directive issuance and distribution; for example if a directive must be distributed in conventional paper form, time for printing and mailing must be allowed.
2. A later effective date is necessary to be consistent with a rule or policy promulgated through Federal Register publication.
3. A critical and compelling need exists to distribute and implement the direction in less than 15 working days.
4. Field units need more than 15 days to prepare for implementing or complying with the directive; for example, to provide critical training.
In establishing a future effective date, the Directive Manager shall consult with the authoring unit, and, as necessary, with the approving line officer, and shall consider such factors as the importance of the direction, the size of the directive, the number of holders/users, and the time required for processing and distribution.
1113.42 - Display of Issuance Dates
Each amendment, supplement, and interim directive (ID) shall display a specific issuance date in the format established by the Servicewide Directive Manager, Office of Regulatory and Management Services, Washington Office (FSM 1104.41).
1114 - CURRENCY OF DIRECTIVE SYSTEM
For a list of current codes and captions in the Directive System, see FSH 1109.12, section 51, exhibit 01.
1114.01 - Authority [Reserved]
1114.03 - Policy
1. All servicewide directives, except interim directives (IDs), shall be reviewed for currency at least once every 5 years. Reviews of the Forest Service Manual shall be conducted on a chapter or title basis. Handbooks of less than 50 pages shall be reviewed in its entirety. Review of larger, more complex handbooks may be phased.
2. Field units must promptly conform their supplements and IDs to revisions issued by the Washington Office. As a general rule, field units should review and revise their issuances within 60 days of receipt of an amendment or ID from the Washington Office to ensure that field direction is consistent with Washington Office direction. Field units also must ensure that any issuances to reserved codes and unit handbooks are reviewed at least once every 5 years.
1114.04 - Responsibility
1114.04a - Washington Office
1. Deputy Chief. It is the responsibility of the Deputy Chief to whom authoring staffs report to ensure that direction is accurate and current, directive currency reviews are performed on schedule, and staffs revise or remove direction as indicated by the review in a timely manner.
2. Staff Director. It is the responsibility of each Washington Office Staff Director or responsible staff officer to ensure that direction is accurate and current; to incorporate scheduled directive currency reviews into the annual program of work process; to conduct the scheduled reviews; to certify that each existing directive has been reviewed; and to retain, revise, or remove direction as indicated by the review.
3. Servicewide Directive Manager. It is the responsibility of the Servicewide Directive Manager, in consultation with authoring units and with approval of the Deputy Chief for Business Operations, to establish and maintain a currency review schedule as required at FSM 1114.03 and to document completion of reviews.
1114.04b - Field Units
1. Line Officer. It is the responsibility of Regional Foresters, Station Directors, the Area Director, the Institute Director, and Forest Supervisors to ensure that responsible staffs conduct directive currency reviews and revise supplements and interim directives promptly when necessary to conform to revised servicewide direction.
2. Directive Manager. It is the responsibility of the field unit Directive Manager to:
a. Alert authoring units to the need to review or revise supplements and interim directives upon receipt of amendments or interim directives from the Washington Office;
b. Establish a process to ensure that authorizing units are notified of the need to conduct currency reviews of unit handbooks and issuances to reserved codes;
c. Document completion of currency reviews; and
d. Report to the approving line officer when such reviews do not occur in a timely manner.
1114.1 - Currency Reviews
1114.11 - Criteria for Currency Reviews
At a minimum, units shall review existing direction to ensure that the following criteria are met:
1. The direction is still needed to guide agency work.
2. The direction is consistent with current law, regulation, and order.
3. The direction is consistent with current agency management philosophy and principles of delegation of authority.
4. The directive assigns responsibility to appropriate officers or other employees.
5. The direction complies with the content, coding, and structural requirements of the Directive System as set forth in this chapter and in FSH 1109.12.
6. The direction is technically correct.
a. The text refers to units, programs, activities, and positions by current official name.
b. Cross-references and citations to laws, regulations, orders, and forms are correct.
1114.12 - Review Schedules
The servicewide and field unit Directive Managers may publish the approved directive currency review schedule as an exhibit to this code. Units shall establish reasonable procedures for revising and adjusting the schedule and for documenting accomplishment of reviews.
1114.13 - Timeframes for Incorporating Changes in Names of Units and Positions
Washington Office Staff Directors and field unit line managers should prepare revised directives within 1 year of approved changes in the official names of administrative units, staff units, and positions (FSM 1226.03).
PAGE
WO AMENDMENT 1100-2007-1
ISSUANCE DATE: 10/18/2007
DURATION: This amendment is effective until superseded or removed.1110
Page PAGE 20 of NUMPAGES 20
FSM 1100 - DIRECTIVE SYSTEM
Chapter 1110 - DIRECTIVE SYSTEM STRUCTURE AND STANDARDS
1110
Page PAGE 1 of NUMPAGES 20
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