U.S. Geological Survey Manual

2. Authority. Part 101 of the Departmental Manual and Part 100, Chapter 1 of the Survey Manual (SM 100.1)

3. The Office of the Associate Director, Administrative Policy and Services (APS) exercises the general authority delegated by the Director for the planning, development, administration, and evaluation of the administrative support activities carried out by the bureau. This Office advises the Director on administrative matters, and is responsible for developing bureauwide administrative policy and procedures and for providing support to headquarters offices in the functional areas of accounting and financial management; fiscal services; contracting and procurement; grants management; real and personal property management; general services; safety and security; environmental management; financial, administrative, and business information systems; policy analysis; technology transfer; and other associated administrative areas. The Associate Director, APS is assisted by two Deputies.

A. The Deputy Associate Director leads the budget formulation and serves as liaison to the U.S. Geological Survey (USGS) Budget Office for all matters involving APS; serves as the Chief Scientist for APS; manages budget planning, allocation, and execution of the bureau support budget; serves as the program coordinator for the Science Support budget activity; and is a champion for development and implementation of the Budget and Science Information System Plus for the Bureau.

B. The Deputy Associate Director for Financial Management (and the Deputy Chief Financial Officer) supervises the Chief, Office of Accounting and Financial Management, the Chief, Office of Fiscal Services, and the Chief, Office of Internal Control and Quality Assurance. The functions of these three offices are described in paragraphs 3.C, D, and E below.

C. The Office of Accounting and Financial Management (OAFM) provides advice, formulation, and direction of a bureauwide accounting and financial management program designed to meet the needs of management in achieving overall program objectives and to ensure full compliance with applicable laws and regulations. The OAFM disseminates Central Agency (General Accounting Office, Department of the Treasury, Office of Management and Budget (OMB), and General Services Administration) and Departmental accounting policies and procedures for implementation by the USGS. The OAFM prepares the USGS annual financial report, as well as all monthly reports relative to financial activity. Vendor (commercial, Federal, and employee) payment claims, as well as collections of debts, are processed within the OAFM. Oversight responsibilities include statistical sampling of payment activity (commercial and travel) to ensure compliance with all relevant policies and procedures. Financial systems support is provided for the Federal Financial System (FFS), including report development, training, and computer security. This office has three branches which are described below:

(1) The Management Controls and Reports Branch (MCRB) is responsible for internal and external financial reporting, monitoring of general ledger balances and relationships, and supporting the development of activity based cost (ABC) management information. The MCRB is responsible for maintaining the general ledger posting model logic to ensure the full compliance with the Department’s and Treasury’s Standard General Ledger pro forma entries. This branch has three sections, which are described below:

(a) The Financial Reporting Section (FRS) is responsible for the preparation of the USGS annual Performance and Accountability Report (PAR), as well as the quarterly submission of the Federal Agencies’ Centralized Trial-Balance System II (FACTSII) report to OMB. The FRS also prepares monthly financial statements and footnotes and intra-departmental elimination reconciliation and corrections. The FRS maintains the Hyperion general ledger database, which is used to prepare the financial statements and footnotes.

(b) The Controls and Reconciliation Section (CRS) is responsible for preparing the monthly 224 Statement of Transactions. The CRS is responsible for reconciling the fund balance with Treasury and the statement of differences, as well as conducting analytical reviews of financial data. The CRS verifies general internal management system reports, the monthly clearing account aging report, and the monthly general ledger reconciliation.

(c) The Cost Activity Section (CAS) is responsible for verifying that costs for major programs and reporting segments are accurately reported on the Statement of Net Cost and related footnotes in the PAR. The CAS performs reviews to ensure that financial information and the Government Performance and Results Act (GPRA) performance measures are aligned with the budget, strategic plan, and financial reporting. The CAS also prepares the monthly report of intra-bureau eliminations.

(2) The Accounting Operations Branch (AOB) provides bureauwide financial management and administrative support for payments, collections, and travel. The AOB furnishes interpretation and guidance to ensure conformance with financial management guidelines issued from the Department of the Interior (DOI) and the Central Agencies. The AOB develops financial data, prepares financial reports, and provides all offices with advice and assistance on financial matters. This branch has three sections, which are described below:

(a) The Payables Management Section (PMS) is responsible for receiving, auditing, certifying, and scheduling for payment claims submitted by creditors of the USGS. Claims are for goods and services procured by USGS employees. Included are contractual items purchased via purchase orders, formal contracts, utility bills, and IPAC billings from other Government agencies. The PMS performs statistical sampling of payments made by remote data entry and evaluates the results to continually make improvements in the disbursing function. The PMS monitors and reports on compliance with the Prompt Payment Act by offices within the USGS.

(b) The Receivables Management Section (RMS) is responsible for issuing bills for collection, providing debt follow-up and transferring delinquent debt to Treasury for offset, and recording collection of funds for program- and employee-related debt. Program debt includes payment on reimbursable agreements with Federal and non-Federal customers for services performed, such as surveys, investigations, and research. Employee debt includes salary and travel overpayments, health insurance premiums, and unused travel advances.

(c) The Travel Management Section (TMS) is responsible for processing travel, change of station, and travel advance payments in accordance with all applicable laws and regulations. The TMS is also responsible for developing policies and procedures, and for providing technical guidance in all matters relating to travel and transportation. The TMS monitors the USGS travel charge card program and manages the vendor table process, which includes the addition or deletion of vendors (commercial and travelers).

(3) The Systems Coordination Branch is responsible for coordinating the development of bureau-specific financial management systems policy and Federal Financial System (FFS) operating procedures; providing technical support, assistance, and training to FFS users; developing and maintaining FFS user documentation; maintaining control over the FFS master reference tables; and managing the FFS Security Program. The branch also works closely with other DOI bureaus in determining the content and timing of new FFS releases. The branch manages a formal bureau-level testing program for all new FFS software releases and revisions to operating procedures. In addition, the branch designs and produces special bureau financial reports, and develops custom bureau-specific FFS data entry and inquiry screens. The branch is responsible for providing support to the Office of Internal Controls and Quality Assurance in gathering information in support of its management internal control review responsibility. The branch is responsible for the annual accounting system compliance review, and annual confidentiality certification by all FFS users in accordance with the Federal Information Security Management Act (FISMA). The branch maintains the OAFM official web page and is responsible for general systems support within OAFM.

D. The Office of Fiscal Services (OFS) has primary responsibility for leading the development and implementation of bureau policy and operational procedures related to budget execution processes and for providing advice regarding budget formulation and execution activities to headquarters staff and senior management. This office provides financial and program data to the Office of Budget to assist in budget formulation decisions and data requirements. The OFS (headquarters) coordinates and collaborates with the three Regional Branches of Fiscal Services to facilitate standard bureau fiscal processes and procedures. This office is also responsible for audit liaison functions related to statistical sampling and for ensuring that field and headquarters operations understand and implement bureau procedures for financial and fiscal management. This office operates in a team environment with the other headquarters financial and administrative teams and with bureau senior managers to accomplish the goals of the entire administrative management program in support of the Bureau’s scientific mission. The OFS has two branches, which are described below:

(1) The Bureau Support and National Capabilities Branch is made up of two teams--the Bureau Support Team, and the National Capabilities Team.

(a) The Bureau Support Team is led by a Senior Financial Specialist, and staffed by Financial Specialists and Assistants who provide a full range of financial services and support to the Director’s Office, the Office of Administrative Policy and Services, and the Office of Human Capital.

(b) The National Capabilities Team is led by a Senior Financial Specialist and staffed by Financial Specialists who exercise oversight and provide fiscal support to the Hydrologic Instrumentation Facility, National Research Program, Cartography and Publishing Program, Branch of Geophysical Applications and Support, Branch of Quality Systems, the National Water Quality Lab, Yucca Mountain, Biology Cooperative Research Units, National Training Center, and Earth Resources Observation and Science Center. This team is also responsible for Fiscal Services Internal Control Reviews and training.

(2) The Discipline Support Branch is also made up of two teams--the Water and Geospatial and Information Office Team and the Geology, Geography, and Biology Team. The Discipline Support Branch is led by a Senior Financial Specialist and staffed by Financial Specialists and Assistants who provide a full range of financial services and support to the Associate Directors and staff.

E. The Office of Internal Controls and Quality Assurance (OICQA) provides advice, formulation, and direction of the bureau-wide internal control program (in compliance with OMB Circular A-123) in order to ensure the existence, use, and efficiency of controls for the safeguard and accurate reporting of USGS assets and to prevent fraudulent, wasteful, and abusive practices. Working in cooperation with the OAFM, the OFS, the Office of Policy and Analysis (OPA), and the Office of Budget, the OICQA develops policies and procedures related to internal control, including policies and procedures related to budget execution, financial reporting, and the control systems of each; develops and implements methods to communicate internal control policies and procedures to USGS staff; and provides internal control training to USGS program and administrative staff. The OICQA performs internal control and quality assurance reviews, including: (1) specific topic-oriented field reviews as determined by the results of the regularly occurring control reviews within the OAFM, OFS, and regional Branches of Fiscal Services; (2) periodic field site reviews encompassing a wide variety of financial processes to ensure compliance, efficiency, and quality of performance; and, (3) periodic reviews of controls and procedures over financial reporting, including reviews of the OAFM.

F. The Office of Management Services (OMS) is responsible for providing staff advice, direction, and guidance in the areas of space and facilities management, security, property management, safety and industrial health, environmental and emergency management, supply management, and other administrative services programs. This office formulates policies and procedures within these areas to be implemented on a bureauwide basis, and provides general staff advice and assistance to the Associate Director, APS. The Chief, Office of Management Services serves as the program coordinator for the Facilities budget activity. The OMS has five branches, which are described below:

(1) The Safety and Environmental Management Branch is responsible for planning, developing and implementing bureauwide occupational safety, health, environmental and emergency protection policies in compliance with Department of Labor, Occupational Safety and Health Administration, U.S. Environmental Protection Agency, and Department of Homeland Security regulations. The branch provides technical assistance to management, employees, and both full time and collateral duty safety personnel. The branch conducts evaluations of regional operations and activities to determine compliance levels and provides recommendations to comply with occupational safety, health, and environmental programs. In addition, the branch serves as the focal point for accident investigation and reporting using the Department's Safety Management Information System, and provides bureauwide direction and oversight for Continuity of Operations Planning.

(2) The Security Management Branch provides policy formulation, security management, and oversight for the bureau’s national security classification, personnel security, physical security, law enforcement, and counter terrorism programs. This includes the management of foreign intelligence materials and sites; the employment and retention of persons in sensitive positions; establishment of the Homeland Security Advisory System nationwide; and the protection of the bureau’s facilities/sites, property assets to include mission-essential infrastructures, and approximately 10,000 personnel. The Bureau Security Manager is designated as the Facility Security Officer for the National Center, Reston, Virginia, responsible for all National Center physical security and law enforcement to include the contract management of National Center guard and physical security contracts. The branch provides technical assistance to all levels of management, as well as to employees and full-time and collateral-duty professional security personnel.

(3) The Property Management Branch is responsible for planning, directing, and administering a comprehensive and fully developed bureauwide property management program, which includes personal property, vehicle management, energy conservation, and museum property. The branch is responsible for developing and implementing policies and procedures, and for providing oversight of the personal property program to ensure quality support of program operations and effective accountability of property resources.

(4) The Facilities Management Branch is responsible for policy development, management support, and oversight of all real property assets in the bureau. This includes owned properties as well as those obtained from the GSA, or direct leases. The branch formulates and allocates the Facilities budget for USGS. In addition, the branch is responsible for the development and implementation of strategic facilities plans and the USGS asset management plan. The branch is responsible for building operations at the John W. Powell Federal Building; the technical evaluation and development of design specifications for modifications and new construction projects, and the monitoring and acceptance of these projects, including optimum utilization of space; operations, maintenance, and scheduling of building equipment; scheduling of conference room and auditorium activities; issuing parking permits; the USGS Ridesharing Program; and monitoring facilities costs, including overtime services, for the National Center and all other USGS facilities.

(5) The Materials Management Branch is responsible for planning, developing, and administering bureauwide policy and guidelines in supply management, administrative printing, reprographic equipment management, mail service operations, transportation services, and official USGS clothing. In addition, it is responsible for National Center supply operations including the acquisition, issuance and control of office and field supplies; National Center mail, messenger, and motor vehicle operations; inter-building courier services; warehousing and distribution activities; shipping, receiving, and transportation services; and printing management. The printing management function includes coordination with the Department on all USGS copy activities.

G. The Office of Acquisition and Grants (OAG) has primary policy responsibility for the nationwide coordination, integration, and administration of bureau procurement and assistance (grants and cooperative agreements) programs. It has operational responsibility for contracting and assistance support for the Reston headquarters organization elements of the USGS. The functions described below are effected through staff in the immediate Office of the Chief OAG. The functions of the four branches are described in paragraphs 3.G (1) – (4) below:

-formulating and implementing acquisition and assistance policy and procedures to assure performance by bureau procurement and program offices of all the administrative, scientific, engineering, financial, accounting, and legal actions prerequisite to effective procurement;

-interpreting and implementing Federal procurement statutes and regulations as well as other laws and regulations involved in the procurement and assistance process;

-developing and implementing a quality control system to ascertain and enforce compliance with all laws, regulations, and policies by bureau procurement and program offices;

-providing technical guidance to all bureau procurement offices in their day-to-day operations;

-participating in bureau competitive sourcing initiative;

-developing and conducting training programs for bureau scientific and administrative personnel concerning the program offices' responsibilities in the procurement process;

-determining procurement and contracts system requirements, including overall management of the bureau automated procurement system;

-managing the warrant authority and Contracting Officer's Representative delegation programs;

-providing advice and technical guidance to all levels of management in the procurement and assistance aspects of their program planning and budgetary process;

-managing the A-123 internal control review of acquisition management;

-maintaining bureau acquisition internet and intranet pages;

-sponsoring advance procurement planning;

-providing cost and price analysis assistance to both headquarters and regional procurement personnel;

-implementing and monitoring bureau procurement programs for socially and economically disadvantaged small business firms; and

-managing the acquisition delegation programs.

(1) The Acquisition Branch provides contracting support for Headquarters customers, generally handling requirements over $100,000, including new contract awards and contract administration and larger orders using Federal Supply Schedules or other indefinite delivery vehicles.

(2) The Grants Branch administers nationwide federal assistance programs, issues program announcements and awards, and administers grants and cooperative agreements for Headquarters customers. The branch also shares responsibility for development of grants policy and implementation of electronic grants systems.

(3) The Simplified Acquisition Branch provides simplified acquisition support for Headquarters customers, including purchase orders, orders using Federal Supply Schedules, or other indefinite delivery vehicles, Interagency Agreements, and administration of those actions. This Branch also shares responsibilities for management of field warrants and warrant training.

(4) The Operations Branch manages bureau automated acquisition and requisitioning systems and office information technology resources; collects, analyzes, and reports procurement and federal assistance data and statistics; and has overall management of the bureau Charge Card Program.

H. The Office of Business Information Systems (OBIS) administers a comprehensive program in support of DOI and USGS corporate information technology (IT), information management (IM) and information resource management (IRM) activities, and requirements for the Office of Administrative Policy and Services. Support is provided in the areas of centralized and distributed computing, FISMA-related application security testing and evaluations, and value added applications, as well as leadership, technical direction, coordination, and policy support to APS, the Office of the Director, the Office of Human Capital, and other USGS programs as needed. The OBIS is comprised of three branches, which are described below:

(1) The Branch of Business Applications and Support supports and manages departmentwide, bureauwide, and APS-related IT systems. The Branch’s responsibilities include:

(a) evaluating overall plans and proposals for major IT projects;

(b) performing studies of the feasibility, costs, and benefits of developing new or converting existing systems to automation;

(c) providing consulting advice, assistance, and services to administrative information systems operating personnel within APS and the Bureau;

(d) designing, developing, testing, and implementing new systems;

(e) developing system and user documentation;

(f) developing and administering contracts;

(g) developing user procedures and documenting these procedures in user manuals;

(h) planning, developing, installing, and evaluating APS distributed data-processing hardware, communications and software systems;

(i) evaluating the performance and security of administrative systems in APS; and

(j) performing any needed management control reviews, security reviews, Privacy Act information evaluations, systems testing and evaluations, and updated certification and accreditation requirements for APS business applications and Lotus forms/workflow applications.

(2) The Branch of Business Applications Operations and Maintenance is charged with carrying out OBIS’ responsibilities regarding the analysis, design, development, testing, implementation, documentation, user training, operations, maintenance, and user support for financial management systems. These include the FFS application and financial management aspects of related subsystems such as the FFS+, FFS Inventory and Fixed Assets Subsystems, the Personnel Resources Utilization System (PRUS), as well as interfaces between the FFS and BASIS+, Federal Payroll/Personnel System (FPPS), IDEAS, MAXIMO, Travel Manager, USGS Self Service Store, Space Management, Property Management, Vehicle Management, and other financial related management applications, whether mainframe, networked, stand-alone, or Web-based. The Branch’s responsibilities include:

(a) evaluating the Bureau's financial procedures and existing automated systems for the purpose of automating, streamlining, consolidating, integrating, interfacing, and generally providing increased efficiencies through automated means;

(b) developing project plans which include schedules, resource levels, labor mix, cost, and milestones necessary for the design, development, implementation, and operational support of financial systems;

(c) developing system documentation, user documentation, and training documentation and programs necessary to support the systems implemented;

(d) coordinating system implementation/enhancement installations to minimize downtime and end-user disruption;

(e) developing comprehensive test plans and implementation plans;

(f) participating in testing and implementation until systems are operational;

(g) analyzing operational systems in order to design enhancements and modifications necessary to maintain efficient and effective systems;

(h) ensuring regulatory changes, new or changed user requirements, and technological improvements are reflected in appropriate systems;

(i) developing statements of work, evaluating proposals and managing contracts and contractors in order to meet the workload of the Branch;

(j) managing the continuing operation of FFS which entails control and scheduling of all inputs, updates, and outputs, continued system testing and auditing to maintain file, database, and system integrity;

(k) performing reconciliations of system data and between systems;

(l) providing user assistance, monitoring performance, and trouble shooting problems;

(m) representing the Bureau on committees, projects, meeting, etc. related to financial applications systems issues;

(n) overseeing USGS participation in FFS software/hardware modifications/conversions to operating systems, reports, and software upgrades;

(o) addressing corrective actions in response to FFS audit Notices of Finding and Recommendations;

(p) responding to FISMA-related application security related requirements; and

(q) evaluating and accommodating the need to run FFS processes more often, to manage electronic report distributions in an efficient and timely manner in lieu of internal reorganizations, and to develop new reports as needed.

(3) The Branch of Project Systems supports, manages, and directs the development and operation of USGS’ electronic Budget and Science Information System Plus (BASIS+). BASIS+ is the standardized bureau-wide automated project information system that supports science, project planning, project budgeting, and reporting throughout the USGS. The BASIS+ application is developed using Oracle development tools and the database product is Oracle, the standard database product used for DOI administrative systems. Responsibilities relate to the systems life cycle support of BASIS+ along with interfaces to other USGS or Departmental administrative systems. Responsibilities include the: design, development, implementation, and management of the system for the processing, storage, retrieval, analysis, and dissemination of USGS’ project and administrative management data and ensuring the integration of all systems components, e.g., procedures, databases, policies, software, and hardware. The Branch directs the integration of BASIS+ with bureau systems such as the FFS and the FPPS and ensures that system development and implementation conform to applicable information technology security standards. The Branch of Project Systems performs needed management control reviews, security reviews, Privacy Act information evaluations, systems testing and evaluations, and updated certification and accreditation requirements for BASIS+.

I. The Office of Policy and Analysis is responsible for management of the bureau’s directives system including the Survey Manual, Handbooks, and Instructional Memoranda. The Office manages the bureau’s Technology Transfer Program, including the preparation, review, and approval of Cooperative Research and Development Agreements (CRADAs) and Technology Assistance Agreements; evaluation of USGS inventions for patentability and commerciality and preparation of patent applications and non-disclosure agreements; and execution of non-exclusive, exclusive, and partially exclusive licenses to companies interested in marketing, manufacturing, or using USGS developed technology. The Office also reviews non-standard cooperative and reimbursable agreements for compliance with statutory and regulatory requirements.

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Carol F. Aten
Associate Director for Administrative Policy and Services