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TREASURY DIRECTIVE 21-01

DATE:  April 29, 2016
 
 
 
1.   PURPOSE.  This Directive establishes policy and procedures for approval of significant organizational changes within the Department of the Treasury.
 
2.   SCOPE.  This Directive applies to all bureaus, offices, and organizations in the Department of the Treasury, except for the Department’s Inspectors General.  The provisions of this Directive shall not be construed to interfere with or impede the authorities or independence of the Department's Inspectors General or the Office of the Comptroller of the Currency.
 
3.   POLICY.  Organizational changes will be designed to promote efficient use of resources, sound management practices, and optimal value for the American public.  Significant organizational changes will be effected with the approval of the Assistant Secretary for Management (ASM) or the Deputy Secretary.
 
4.   DEFINITIONS.
 
a.   Significant organizational change means any:
 
1)   creation, abolishment, or substantial change in the organization at the level that reports to a bureau head, deputy bureau head, or an Assistant Secretary or above in Departmental Offices;
 
2)   change in mission-critical programs;
 
3)   major change in field structures; or
 
4)   change that will cause controversy or have a major impact on the organization's budget, personnel, stakeholders, or Congress.
 
b.   Supervisory official means the official to which an office or bureau reports to, as designated by:
 
1)   Treasury Order 101-05, “Reporting Relationships and Supervision of Officials, Offices, and Bureaus, and Delegation of Certain Authority in the Department of the Treasury,” dated December 15, 2015, or any successor Order; and
 
2)   Treasury Order 107-04, “The Authority of the General Counsel,” dated April 30, 2015, or any successor Order, for the Legal Division.
 
 
5.   RESPONSIBILITIES.
 
a.   Heads of bureaus, Assistant Secretaries, Under Secretaries, and equivalents in Departmental Offices, will submit proposed significant organizational changes to the supervisory official for concurrence.  The proposal will then be forwarded through the Deputy Assistant Secretary for Human Resources and Chief Human Capital Officer to the ASM for action, except as indicated below:
 
1)   in cases where the Secretary is the supervisory official, the proposal will be submitted through the Deputy Assistant Secretary for Human Resources and Chief Human Capital Officer to the ASM.  As appropriate, the ASM will approve the proposal or forward  to the Deputy Secretary with a recommendation for action; or
 
2)   if the reorganization is for the Office of the Assistant Secretary for Management, the responsible Deputy Assistant Secretary shall submit the proposal to the Assistant Secretary. 
 
b.   Heads of bureaus are responsible for publishing significant organizational changes in the Federal Register when required by 5 USC 552(a), other statute, or regulation.  The ASM is responsible for publishing approved changes for Departmental Offices.
 
c.   The Office of the ASM is responsible for coordinating updates to the Department’s public web site, www.treasury.gov, as needed, to reflect approved organizational changes (revised organizational charts, mission statements, or functional statements).
 
6.   REQUIREMENTS.  Proposals for significant organizational changes should include:
 
a.   an explanation of the purpose of the organizational change.  As appropriate, this should describe how the change will affect the organization's mission, strategic goals, customer service, and use of resources;
 
b.   an explanation of the differences between the current and proposed organization;
 
c.   an explanation of the impact on employees, including Senior Executive Service positions, authorized personnel ceilings, and average grade;
 
d.   a list of positions by occupation and grade for the current and proposed organization;
 
e.   current and proposed organizational charts for each affected organization.  Proposed organizational charts should include an approval line, as appropriate per Section 5, Responsibilities;
 
f.    revised functional statements for each affected organization;
 
g.   an assessment of challenges or controversies in implementing the proposal;
 
h.   a description of any communications which have taken place with stakeholders, including employees, employee unions, other agencies, members of Congress, or the public;
 
i.    a statement of any legal requirements, budget impacts, availability of source funding, or conditions applicable to the change; and
 
j.    drafts of any Treasury Order or Treasury Directive that needs revision to reflect the organizational change.
 
7.   AUTHORITIES.
 
a.   31 USC 321.
 
b.   Treasury Order 101-05, "Reporting Relationships and Supervision of Officials, Offices and Bureaus, and Delegation of Certain Authority in the Department of the Treasury," dated December 15, 2015, or successor documents.
 
c.   Treasury Order 107-04, "The Authority of the General Counsel," dated April 30, 2015, or successor documents.
 
8.   CANCELLATION.  Treasury Directive 21-01, "Organizational Changes," dated February 17, 2012, is superseded.
 
9.   OFFICE OF PRIMARY INTEREST.  Office of the Deputy Assistant Secretary for Human Resources and Chief Human Capital Officer.
 
 
 
                                                                        /S/
Brodi Fontenot
Assistant Secretary for Management
 
 
 
 
Last Updated: 7/12/2016 2:25 PM

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