1.55.2  Organizational Changes

1.55.2.1  (09-15-2009)
Introduction

  1. A review of the IRM 1.55.2 was initiated to identify areas for improvement and incorporate revisions to the organization change process. As a result of the review, recommendations to shorten cycle time, eliminate redundancies and reduce resources to implement changes have been incorporated into the IRM.

1.55.2.2  (11-01-2004)
Scope

  1. The purpose of this IRM Section is to establish policies and procedures to govern the review and approval of proposed organizational changes within the Wage and Investment (W&I) Operating Division.

1.55.2.3  (09-15-2009)
Policy

  1. The following principles govern organizational design within the W&I Operating Division. Organizational structures should be designed to:

    1. Establish business practices, which provide the highest level of customer service at the lowest possible cost

    2. Reduce overhead expenses by encouraging the use of collocated facilities, shared office space, consolidating support services, and eliminating functional duplication

    3. Flatten exiting organizational structures by eliminating fragmentation and empower employees engaged in providing direct service to the customer.

    4. Eliminate unnecessary supervisory positions and organizational levels

    5. Fully utilize the talents and capabilities of all employees

1.55.2.4  (09-15-2009)
Background

  1. The following guidance is intended to serve as a framework for managing our organizational change process. It outlines the responsibilities of key officials and provides detailed procedures for processing and evaluating proposals that may originate from many sources (both internal and external to W&I). The overriding objective of this decision-driven process is to ensure that each and every proposal to realign elements of the new organization are properly evaluated.

  2. Managers are responsible for ensuring sound organizational structures by continually evaluating the effectiveness and efficiency of their business units. Managers are encouraged to streamline and maintain as " flat" an organization as possible.

  3. Once a decision is made to modify the current structure, it should be communicated and implemented in a manner that:

    • Supports the Strategic Vision

    • Minimizes disruption to Business Operations

    • Ensures the continuity of essential employee services

1.55.2.5  (09-15-2009)
Definitions

  1. Definitions are added in order to establish common terminology in W&I:

    • Approving Official: The management official authorized to approve/disapprove implementation of a proposed reorganization in Wage and Investment.

    • Commissioner: A title of address to the head of Wage and Investment Division. Also, the word "Division" should not precede Commissioner in the title. It is permitted to refer to the Division Commissioner when generically distinguishing him/her from the IRS Commissioner.

    • Director: A title of address to the head of a unit reporting to the W&I Commissioner and/or an individual reporting to the head of the unit. Areas will be headed by Directors and will be titled.

      Example:

      Director, Area 1 (Hartford) or Field Director, Submission Processing Center, Austin.

    • Function: All or a clearly definable group of activities performed to achieve an organization's mission. A concise statement about the purpose of an organization expressed in terms of what the organization produces and for whom.

    • Organization Chart: A diagram of boxes that shows the management titles of each organization and unit. Each box should contain the number of positions by pay plan, series, grade, bargaining unit status and position number and grade. The organization chart establishes the reporting relationships of organizations by lines between superior and subordinate organizations.

    • Reorganization Proposal: The written description and justification for a desired reorganization including the business case for the change, and other pertinent facts essential for the reviewing and for the approving officials to make an informed decision.

    • Transfer of Function: The transfer of all or part of an existing function from one organization to another.

    • Reorganization: A change to an organization that generally eliminates, adds, or realigns the functions or duties of an organization; specifically changes the mission, function or organizational structure, including geographical boundaries and jurisdiction, reporting lines, office names, and managerial titles.

    • Unit: Any organizational component.

    • Point of Contact: Individual or office assigned primary responsibility for the development and coordination of the reorganization proposal.

    • Organizational Design: A process concerned with establishing and/or changing a group of functions, reporting relationships, and workflow to achieve its mission and goals. Organizational design decisions are documented in the form of organizational charts and mission and functional statements.

    • Position Management: The structuring of positions into the most efficient and effective organization to accomplish the mission. Position Management is concerned with such issues as job design, career ladder development, ratio of supervisors to subordinates (span of control), excessive use of deputies and assistants, types of positions, contracting possibilities, and cost/benefit analysis.

  2. Campus Manager Title includes the following:

    • Field Director: Head of Office delegated authority to oversee the overall planning, direction, timely execution of a variety of programs, and oversees the assignment, development and clearance of goals and objectives for subordinate organizations.

    • Operations Manager: Level of management responsible for all programs under the jurisdiction of the Field Director; a campus expert that is called upon to participate in policy and decision making activities.

    • Department Manager: Level of management responsible for developing and implementing necessary plans and schedules for the accomplishment of organizational objectives.

    • Team Manager: Level of management responsible for directing, assigning and reviewing the work of subordinate employees, planning, scheduling, and coordinating work operations.

1.55.2.6  (09-15-2009)
Submission of Proposals and Procedures

  1. There are three categories of reorganization, Category " A" , "B" and "C" . The content of the reorganization proposal package varies depending on the category of the request.

  2. Any individual in W&I may submit a reorganization proposal through the appropriate channels.

1.55.2.6.1  (09-15-2009)
Inclusions for Reorganization Proposals

  1. The following are components of reorganization proposals:

  2. Statement of purpose or need: Describes the changes being proposed and the result that the organizational change is expected to achieve.

  3. Proposed changes and the rationale behind those changes: Include, but are not limited to, the following:

    • Budgetary costs and benefits (including subsequent years)

    • Number of executive/managerial positions

    • Overall effect on GS-301/343 staffing

    • Number of GS-14s,15s, and senior managerial positions

    • Span of control and grade structure

    • Labor relations issues

    • Effective date of the change

  4. Stakeholder Engagement: Identify stakeholder engagement and what coordination went into the proposal during the early planning stages of the reorganization.

  5. Request for Organizational Change Form: See Exhibit 1.55.2-6.The form is also located on the W&I Human Capital Office (HCO) web site.

  6. Organization Charts: Include appropriate information based on category.
    "Category A" : Campus operations should include a copy of their Current Approved Organization Chart that reflects a 12-18 month period; if a Current Approved Organization Chart has not been established, you must submit your last quarterly working organization chart. In addition, a proposed organization chart must be provided. HQ operations should include a copy of their Current Approved Organization Chart. In addition, a proposed organization chart must be provided.
    " Category B" and "Category C" : Prepare organization charts, both current and proposed, that describe in detail the current and proposed organization. See Exhibit 1.55.2-1.

  7. Organization Code Request Form: Located on the W&I HCO web site.

  8. Summary of Change: This component is optional; similar information is captured in the costing worksheet. Prepare staffing charts that reflect the difference between the current and proposed staffing. List in column format the position titles, series and grades, showing the current and proposed staffing numbers and the net change. Highlight staffing increases or variance from existing staffing guides and justify differences. Located on the W&I HCO web site

  9. Mission and Functional Statements: Provide current and proposed mission and functional statements. Account for all impacted functions.

  10. Costing Worksheet (Cost and benefit analysis): - Compute benefits and/or dollar savings anticipated. Organizational changes should result in a more efficient organization and reduced costs. See Exhibit 1.55.2-3. The Costing Worksheet is located on the W&I HCO web site . List and analyze the following:

    • Costs

    • Staffing

    • Benefits (particularly cost savings for personnel and support services)

    Example:

    Space, equipment, relocation, telecommunications, supplies, etc.

    Note:

    Also analyze other tangible costs and benefits and separate by budget line item and address base cost adjustments, one time costs, and revised operating costs. Explain or propose how additional information cost will be funded and identify when the funds will be required. Address in proposal whether additions or changes increase or decrease Authorized Staffing Pattern (ASP); information is required by the reviewers and approving official to determine the availability of or commitment of funds.

    Note:

    Costing worksheets must be updated annually.

  11. Impact and Implementation Statement: Provide a schedule for implementation that illustrates when proposed change(s) will go into effect. Highlight milestones that are essential to successfully accomplishing the organizational change.

  12. Issues: Describe the issues to be resolved and propose how they are to be resolved

    Example:

    Financial codes, Work Planning and Control (WP&C), personnel and office codes, etc.

1.55.2.7  (09-15-2009)
Request for Organizational Change (W-ROC) Form

  1. The W&I Request for Organizational Change (W-ROC) Form provides a standard format to aid in processing, controlling and coordinating internally generated proposals.

  2. The W-ROC will serve as the change control vehicle for documenting final decisions.

  3. For an example of the form and instructions, See Exhibit 1.55.2-6.

  4. Specific instructions for completing the W-ROC for each category and routing of requests for management review and approval are found in the following subsections.

    Reminder:

    The W-ROC is not an appropriate vehicle for accommodating the personal preferences or needs of individual employees, such as work/group assignments, post of duty designations, etc. Such issues should be handled through normal management channels in conformance with applicable W&I HCO policies and procedures.

1.55.2.7.1  (09-15-2009)
Categories

  1. The proposed organizational change should be classified in one of three categories: "A" , "B" , or " C" , based on the nature, scope and expected impact..

    • Category A – Apply to the simplest of requests to realign

    • Category B – Apply to more significant changes, which alter reporting relationships or involve multiple business units (e.g., Customer Assistance, Relationships and Education (CARE), Customer Account Services (CAS) and Compliance) within one Business Operating Division (i.e. W&I) that will require approval by the Division Commissioner

    • Category C – Apply to more major changes, which alter reporting relationships or involve multiple Business Operating Divisions (e.g. Small Business/Self-Employed (SB/SE), Large and Mid-Size Business (LMSB) and Tax Exempt/Government Entities (TE/GE)) that will require approval by the IRS Commissioner

  2. The following subsections are general descriptions of each category and can serve as a guide for determining approval levels and the extent of pre-decisional coordination that may be required.

1.55.2.7.1.1  (09-15-2009)
Category A

  1. "Category A" proposals affect very limited components of the overall organization and costs are sustained within the approved work plan/work schedule (campuses) or within the full-time equivalent (FTE) allocation (headquarters).

  2. In "Category A" proposals, the campus Division Director or HQ Director certifies that the change will have no known impact on other offices or programs and does not violate existing labor/management agreements.

  3. Following are examples of "Category A " changes:

    • Establish new or temporary teams to accommodate new hires if funding was previously authorized by centralized finance

    • Reassign or realign employees or groups of employees to other groups or territories

    • Collapse or combine existing teams, departments, groups or territories

    • Eliminate vacant positions no longer needed

    • Change names of groups, departments, etc.

    • Capture the results of applicable position classification audits

1.55.2.7.1.2  (09-15-2009)
Category A Instructions

  1. Complete the W-ROC, category A designation in accordance with the W-ROC template instructions.

  2. Prepare the proposed organization chart.

  3. Complete the costing template located on the W&I HCO web site.

  4. Complete the Organization Code Request Form (Org. A Form) located on the W&I HCO web site.

  5. The Program Management Office or the originator will review and perfect the package.

  6. The Program Management Office or originator will obtain the Director or HQ Directors' approval and transmit via I-TRAK the package and hardcopy to Strategy and Finance (S&F) Finance to obtain concurrence.

  7. W&I HCO will, review, obtain Director, Strategy & Finance concurrence, securing the organization code/naming convention, and if applicable to discuss employee impact and implementation issues.

1.55.2.7.1.3  (09-15-2009)
Category A - Implementation

  1. W&I HCO notifies the originator when the new organizational codes are issued and implementation of the change can begin.

    Note:

    Implementation should not begin until notification received from W&I HCO.

  2. The approving director or his or her staff is responsible for coordinating necessary personnel actions (i.e. PARs) and ensuring system changes (i.e. Travel Reimbursable and Accounting System (TRAS), Integrated Collection System (ICS), Examination Return Control System (ERCS), Integrated Financial System (IFS), GovTrip) are initiated and completed timely.

  3. The approving director or his or her staff is responsible for converting the "proposed" chart to the "approved" version.

  4. Upon completion of the conversion, send a copy of the current approved structure to W&I HCO for the master file.

    Note:

    To ensure the financial system is updated, please allow ample time after organizational codes are established, before submitting PARs; i.e. two pay periods.

1.55.2.7.1.4  (09-15-2009)
Category B

  1. "Category B" proposals are significant organizational changes that involve or affect multiple business units within one Business Operating Division.

  2. These proposals add additional positions not previously funded, incur additional costs, involve changes in types of positions, grade/series, involve program activities, work processes, or geographic locations. These types of changes require concurrence of the Operational Strategy Board, Executive Directorate, or the Senior Leadership Team, and the approval of the W&I Commissioner.

  3. Examples of "Category B" requests may include:

    • Increases in the number of higher grades (GS-14 & 15 nonsupervisory)

    • Increases in the numbers of overhead or staff positions ( Deputy, staff assistants, GS-343/301)

    • Upgrade of position or positions, not preceded by desk audit or grade structure change

    • Decreases in the supervisor to employee ratios (span of control) below the minimal acceptable level.

    • Creation of additional management layers

    • Transfer of management and program responsibility from one operating function to another

      Example:

      Transfer Business System Planning from Strategy and Finance to Business Modernization Office.

  4. "Category B" proposals must receive concurrence of the Director of the function, Director HCO, and Director Strategy and Finance prior to approval by the W&I Commissioner.

  5. Implementation dates and schedules will be established by the W&I Commissioner in consultation with the functional Directors. Major workforce impact should be coordinated with the Chief Human Capital Office and the Organizational Change and Customer Support (OCCS) Office.

1.55.2.7.1.5  (09-15-2009)
Category C

  1. "Category C" proposals are major organizational changes in which the scope and impact directly affect other Business Operating Divisions (BODs), e.g., SBSE, LMSB, and TE/GE. See Exhibit 1.55.2-5.

  2. "Category C" proposals require prior approval by the IRS Commissioner and consultation and coordination with executives in other affected BODs.

  3. Only, the W&I Commissioner, can make designation of "Category C" (and related recommendations).

  4. Schedules and timetables for implementation require full coordination with all operating areas and support organizations.

1.55.2.8  (11-01-2004)
Responsibilities of Functions

  1. Responsibilities are assigned in the following manner. These responsibilities may occur during the planning, proposal, or the implementation phase.

1.55.2.8.1  (09-15-2009)
Initiating or Originating Office

  1. Depending on the category of the reorganization the Initiating Office may be involved in any or all of the following:

    1. Consults with appropriate officials such as the Program Management, S&F Finance, and W&I HCO functions for assistance in planning the reorganization

    2. Prepares the proposal following procedures established in this IRM or as referenced on the W-ROC Form

    3. Ensures that S&F Finance reviews and signs organizational change package prior to obtaining the Directors approval

    4. Ensures coordination with officials with vested interest in the proposal, i.e. bargaining units and partnerships as appropriate

    5. Consults with W&I HCO, S&F Finance, and the Human Resources (Classification) Specialist during the developmental stages of change request

    6. Implements or assists in the implementation of the approved organization change proposal

    7. Provides a copy of the approved organizational charts and mission/function statements to Strategy & Finance, Planning/Research & Analysis, Program Evaluation & Improvement for the purpose of updating IRM 1.1.13

    8. Coordinate with Facilities and Information Systems staff to address space, property, telecommunications, computer needs, distribution/mail system changes, and security requirements

    9. Once package is complete provide an approved copy of the proposal to the Human Capital Office (W&I) and load the approved package into I-TRAK

1.55.2.8.2  (09-15-2009)
W&I Human Capital Office (HCO)

  1. Depending on the category of the reorganization, W&I Human Capital Office(HCO) office may be involved in any or all of the following:

    1. Reviews the proposal for completeness and accuracy of required documentation

    2. Ensures assignment and coordination of organizational structure and cost center codes

    3. Ensures employee impact issues are addressed

      Note:

      Workforce Relations, Planning & Performance determines and assesses implementation and impact on bargaining unit employees, ensuring compliance with IRS/National Treasury Employees Union (NTEU) National Agreement provisions and/or negotiates a Memorandum of Understanding (MOU) as appropriate

    4. Ensures position management and classification issues are addressed and coordinated with responsible officials

    5. Coordinates review with staff offices such as Program Management, S&F Finance, Human Capital Workforce Relations, Planning & Performance, and Learning and Education (L&E)

    6. Conducts an analysis of the proposal

    7. Provides guidance on personnel, training and local labor relations' actions

    8. Recommends approval/disapproval of package prior to submission to the Senior Leadership Team or Operational Strategy Board for input and W&I Commissioner for approval

    9. Coordinates with Agency-Wide Shared Services (AWSS) to ensure Personnel Payroll updates, organizational titles, series, and occupational changes are made

    10. Maintains and updates organizational charts

    11. Coordinates change with the Chief Human Capital Office and the Organizational Change and Customer Support (OCCS) Office

    12. Monitors analyst (series 301/343) and high grade (GS-14, 15 and SM) positions

1.55.2.8.3  (09-15-2009)
Learning and Education (L&E)

  1. Learning and Education (L&E):

    1. Assess current training needs of the business unit(s)

    2. Forecast future training needs

    3. Coordinate budget allocations

1.55.2.8.4  (09-15-2009)
Strategy and Finance, Finance

  1. The S&F Finance Office:

    1. Maintains correct financial codes, and ensures payroll is correctly charged

    2. Provides advice and assistance on financial structures

    3. Coordinates changes to financial systems and officially notifies all affected financial offices

    4. Reviews, assesses, concurs and consults with the Program Management Office or originator on the financial impact of all change request before the Director approves the change

1.55.2.8.5  (09-15-2009)
Business Systems Planning (BSP)

  1. Business Systems Planning (BSP) reviews organizational changes, if appropriate, and determines if administrative and business systems (e.g. Automated Collection System (ACS), Audit Information Management System (AIMS), ERCS) are updated as necessary.

1.55.2.8.6  (09-15-2009)
Program Management Office/Originator

  1. Program Management Office/Originator:

    1. Prepares and implements the reorganization proposal, obtains review by approving officials, and forwards the proposal to the S&F, Finance, Directors, W&I HCO and if necessary, consults with BSP

    2. Ensures organization charts (current and proposed), mission and functional statements are submitted with the proposal for change

    3. Ensures business needs are addressed and required documentation included with submission.

1.55.2.9  (09-15-2009)
Changes Requiring W&I Commissioner's Approval

  1. All "Category B" organizational changes must be presented to the Operational Strategy Board or Senior Leadership Team for concurrence and approved by the Commissioner.

  2. The Business Unit Director (e.g., CARE, CAS, Compliance), the HC Director, and the S&F Director will review/concur with the proposals prior to the review of the W&I Commissioner. See Exhibit 1.55.2-5.

  3. All proposed changes (listed below) to functions, offices, branches, operations, departments, teams or units below Director’s level are required in writing including:

    • Establishment

    • Realignment

    • Abolishment

    • Transfers

1.55.2.10  (09-15-2009)
Changes Requiring the IRS Commissioner's Approval

  1. The following changes must be approved in advance by the IRS Commissioner because these changes may affect our internal and external customers, budget, personnel and mission essential programs:

    • Establishment, realignment, abolishment, or transfer of Division

    • Establishment, realignment, abolishment, or transfer of Director level organizations

    • Establishment, realignment, abolishment, or transfer of Areas

  2. It is imperative to coordinate proposed changes with executives and representatives in other Divisions.

  3. The W&I Commissioner must coordinate and concur with the request for change before forwarding it to the IRS Commissioner. All proposed changes are required in writing and must address the business case.

1.55.2.11  (09-15-2009)
Approval

  1. "Category A" proposals must be routed through normal managerial channels to the Division or HQ Director, Director of S&F Finance, W&I HCO and S&F for approval and concurrence.

  2. "Category B" a proposals must be routed through normal managerial channels to the Division or HQ Director, Director S&F Finance, W&I HCO and Strategy & Finance before submission to the Operational Strategy Board, Senior Leadership Team, W&I Commissioner, or W&I Deputy Commissioner.

  3. "Category C" proposals must be routed through normal managerial channels to the Division or HQ Director, Director S&F Finance, W&I HCO and Strategy & Finance before submission to the Operational Strategy Board, Senior Leadership Team, W&I Commissioner and the IRS Commissioner.

1.55.2.12  (09-15-2009)
Implementation

  1. Once approved in writing, the implementing official as agreed or designated by the approving official may begin implementation.

  2. Management should allow at least six weeks to complete the implementation phase of a "Category B" or "Category C" proposal. This time will allow proper notification of offices and functions with vested interest in the reorganization. Implementation responsibilities are listed in the following subsection.

    Note:

    Category A changes are not as broad in scope or impact and may take significantly less time to implement. See IRM 1.55.2.7.1.3 for more information.

1.55.2.12.1  (09-15-2009)
Implementation Responsibilities

  1. Implementing Office/Official/Contact Point:

    1. Notifies support personnel and other functions to take necessary actions

    2. Communicates reorganizations

    3. Revises the IRM and other governing directives

    4. Follows up to ensure actions are accomplished

  2. Strategy and Finance:

    1. Ensures correct financial coding and coordinates all changes with the Chief Financial Officer staff; the financial codes are then forwarded to Agency-Wide Shared Services, Transactional Processing Operations (TPO)

    2. Coordinates change to the financial systems and notifies unit financial offices

  3. Agency-Wide Shared Services, Transactional Processing Operations:

    1. Updates organizational titles and structure codes in personnel systems

    2. Adds, changes or deletes organizational codes in personnel systems codes; updates report formats and reports distribution list

    3. Notifies appropriate Employment Operations Associate Director when to implement changes

  4. Agency-Wide Shared Services (AWSS), Employment Office (Servicing) and Chief Human Capital Office (HCO):

    1. Makes needed personnel changes

    2. Provides guidance on employee impact

    3. Obtains special authorities, if necessary

      Example:

      Waivers and/or extensions

  5. W&I Human Capital Office, Workforce Relations, Planning & Performance Liaison:

    1. Determines labor relations implications

    2. Prepares notification to the union and coordinates union bargaining proposal

    3. Assists in negotiations on the impact or implementation of the reorganization

  6. W&I Human Capital Office, Workforce Organization and Transition (WOT):

    1. Reviews change proposals for completeness and ensures change addresses the business case

    2. Addresses mitigation strategies (reassignments, Voluntary Early Retirement Authority(VERA)/Voluntary Separation Incentive Payment (VISP), placement programs, outplacement options)

    3. Coordinates with all that have vested interest

  7. W&I Equal Employment Opportunity (EEO) and Diversity :

    1. Coordinates with Labor Relations (LR) to accomplish the following:
      Identify and project the impact the reorganization will have on minorities, women, and persons with disabilities.

    2. Propose actions to eliminate the unfavorable impact, if necessary

    3. Develop action plans to improve strategies and negative trends, if necessary

  8. W&I Learning and Education:

    1. Determines the training needs and, if necessary, arranges reprogramming or supplementing the training budget to meet the needs

    2. Arranges for the distribution of training materials and writes guidelines

1.55.2.13  (11-01-2004)
Evaluation

  1. To determine whether a given reorganization is effective, it may be necessary for the approving official to request an evaluation. At the time of approval, the approving official decides when, how and by whom the proposed evaluation plan will be carried out.

Exhibit 1.55.2-1  (09-15-2009)
Example of an Organization Chart

The preferred formats for organizational charts are: Miscrosoft (MS)-Visio, MS-PowerPoint, or MS-Word.

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Exhibit 1.55.2–1, Example of an Organization Chart

Exhibit 1.55.2-2  (09-15-2009)
Example of a Summary of Changes Template

The Summary of Changes Template is available on the W&I HCO web site.

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The information below provides description for the above graphic as well as instructions for completion of the template.

Instructions for Summary of Changes Template

1. Name of Agency or Staff Office.

2. List by grade for all units and/or functions identified.

3. Summary of current Full Time Equivalents (FTEs) for all units and/or functions identified.

4. Summary of proposed FTEs for all units and/or functions identified.

5. Difference between proposed and current FTEs.

6. Summary of current annual costs, proposed annual costs, and difference between current and proposed annual costs for the Current Fiscal Year. Cost should be broken down by "Salary and Benefits" and "Other" . Other includes travel, supplies, and equipment costs related to the identified FTEs.

Note:

A reduction in FTEs and salary and benefit costs usually results in a reduction in "Other" costs.

7. Summary of current Supervisor to Employee Ratio and proposed Supervisor to Employee Ratio.

Note:

The numbers should equal the actual staff years before and after the proposed reorganization. Assume that all Senior Executive Service (SES) and Senior level positions are filled when completing the FTE information.

Exhibit 1.55.2-3  (09-15-2009)
Example of a Cost Analysis Worksheet

FY 2008/2009 Position Costing Worksheet Instructions

See the W&I HCO web site for all worksheets, spreadsheets and additional information referenced below for salary tables not included in this exhibit.

General Instructions: The worksheet needs to be filled out for each Organizational Change Request following the specific instructions below. Salary Tables provide a representative salary rate for each position at step five of the grade or mid level of the pay band for each of the geographic localities, please do not adjust. In addition, spreadsheets used for these purposes calculate the total annual salary for the current and proposed organization, along with benefits, and the variance between the current and proposed organizations.

Specific Instructions:

1. Provide the financial information only for the area(s) affected by the request.

2. In cell "A4" of the worksheet, type in requesting organization's name. The worksheet allows the user to select a location for this item.

3. In Cell "B5" , select (from the drop down list) the geographic location of the organization. This is used to determine average salaries based on locality pay. The default is "Rest of US" for multiple locations or for areas not listed.

4. In Cell "B6" , select (from the drop down menu) the date the organizational change is effective. Leave blank if not effective until the next fiscal year.

5. Provide the current (Columns "B" through "F" ) and proposed (Columns "J" through "N" ) total number of positions by payband and grade level only for the area(s) affected by the request.

6. Once complete, print the Worksheet spreadsheet and include it in the Organizational Change Package for review and signature.

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Exhibit 1.55.2-4  (09-15-2009)
Category A (Streamline) Flow Chart

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Exhibit 1.55.2–4, Category A (Streamline) Flow Chart

Exhibit 1.55.2-5  (09-15-2009)
Category B & C Flow Chart

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Exhibit 1.55.2–5, Category B & C Flow Chart

Exhibit 1.55.2-6  (09-15-2009)
Wage and Investment Request for Organizational Change (W-ROC)

The Wage and Investment Request for Organizational Change form is available via the W&I HCO web site.

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Exhibit 1.55.2–6, Wage and Investment Request for Organizational Change (W-ROC)

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Instructions: The " Purpose" includes a brief statement outlining the operational statement or programmatic reasons for the proposed change. Organizational change proposals should directly support the mission, strategic vision, goals, and objectives of W&I.

Identify the business need and the result that the organizational change is expected to achieve. Ensure the changes relate to the mission and are directly supported by mission, Strategic Vision, Concept of Operations (CONOPs), goals, and objectives.

The "Description" summarizes the proposed change and expected impacts, including the following:

Total number of affected employees series, grade, title, and location

Budgetary costs and/or savings (including subsequent years)

Changes in the number of executive/managerial positions, span-of-control and grade structure changes

Labor relations issues that could require discussions or negotiations with NTEU

"Affected Office and Systems" identifies other organizational components (both within and outside W&I), business, operational and/or administrative systems that would be affected.

Example:

Operational and administrative systems that could require realignment include the following:
Automated Collection System (ACS)
Automated Underreporter System (AUR)
Integrated Data Retrieval System (IDRS)
Travel Reimbursement and Accounting System (TRAS)
Requisition Tracking System (RTS)
HR Connect
TAPS/TIMIS
WP&C

Note:

These systems may require realignments to approval paths and user profiles. Links to other systems should also be identified.

The "Originator" field identifies data for the sponsoring manager or executive.

The "Originator" must be either a Director or a direct report; that is, while Territory Managers may propose or initiate a W-ROC, the "Originator" should be no less than one level below the Operating Unit Director level.

Example:

Functional Director, CARE, SPEC; Director, Area 1.

The "Contact Point" field identifies data for the individual employee assigned primary responsibility for development and coordination of the W-ROC. This contact will serve as the originating Director's liaison with HC and all other offices included in the routing, concurrence and implementation stages of the approval process. The contact, who may be a manager or staff analyst, should have complete knowledge and understanding of the proposal and direct access to the sponsoring executive.

The "Approval/Concurrence" field establishes separate routing paths for concurrence/approval of the three different categories (A, B and C).


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