U.S. DEPARTMENT OF AGRICULTURE
DEPARTMENTAL REGULATION
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Number: 0100-001 |
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SUBJECT: Departmental Directives System |
DATE: September 16, 2011 |
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OPI: Office of the Chief Information Officer |
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Section Page
1 Purpose 1
2 Special Instructions 1
3 Policy for Departmental Directives 2
4 Types of Departmental Directives 2
5 Clearance 3
6 Signature Authority 4
7 Effective Date 4
8 Cancellations 5
9 Responsibilities 5
10 Definitions 8
11 Abbreviations 9
12 Forms 10
13 Procedures 10
1. PURPOSE
This regulation
describes the structure, general issuance authority, policies, and
responsibilities for issuing Departmental Directives.
2. SPECIAL
INSTRUCTIONS/CANCELLATIONS
a. This
regulation supersedes Departmental Regulation (DR) 0100-001 dated December 20, 2006.
b. The principal changes to DR 0100-001 are as
follows:
(1) New procedures for clearing Departmental Directives. (See DM 0100-001)
(2) Removal of
roles and responsibilities associated with the production of Departmental
Directives in hard copy.
c. All
Departmental Directives must be prepared using the departmental enterprise word
processing solution.
d. The proper
process for the preparation, coordination and distribution of the Directives
System is detailed in Departmental Manual (DM) 0100-001, Procedures for
Preparing Departmental Directives. DM
0100-001 establishes written procedures to use when implementing this
Departmental Regulation.
3. POLICY
FOR DEPARTMENTAL DIRECTIVES
USDA
Agencies and Staff Offices will use the Departmental Directives system to issue
policies, procedures, and guidance which have general applicability to
employees and two or more USDA agencies or staff offices of the Department. Directives that are applicable to only one
agency or staff office are not part of the Departmental Directives System.
The
agencies and staff offices manage internal issuances which interpret
Departmental directives, external directives, or which enable legislation. The internal issuances are not required to
follow the format prescribed in the Departmental regulation.
4. TYPES OF DEPARTMENTAL DIRECTIVES
Departmental
Directives and issuances consist of the documents discussed below. Generally, the content and format of each is
similar. For a detailed discussion of
coordination, contents, format, and illustrations, see Departmental Manual
0100-001.
a. Permanent
Directives are continuing directives that are in force until specifically
cancelled. They are:
(1) Regulations. Departmental Regulations (DR) promulgate
Departmental policy; delegate authority; establish responsibility; establish statutory
or interagency committees; and prescribe procedures governing USDA activities
and operations. DRs may also include
selected material of an administrative nature that is published in the Federal
Register or the Code of Federal Regulations.
(2) Manuals. Departmental Manuals (DM) are used for
detailed, relatively lengthy technical guidance that is procedural in nature
and Departmentwide in scope. Manuals
generally are written for "specialist" audiences. They provide standards and guidance
pertaining to a particular subject or administrative function, generally of the
type that must be referred to on a daily or frequent basis. Some manuals implement an external agency
directive series with USDA policy and procedural guidance.
b. Temporary
Directives. Temporary Directives are
not to exceed one year and CANNOT BE RENEWED. They are:
(1) Notices. Departmental Notices (DN) announce:
(a) Policy or procedure of Departmentwide interest that is temporary
or of a one-time nature that normally addresses a single subject;
(b) Permanent policy or procedure which requires immediate
dissemination and will be codified into a Departmental Regulation or Manual or
an agency directives system within one year; or
(c) Delegations
of Authority from Assistant Secretaries and other General Officers pending
publication in the Federal Register.
(2) Secretary's
Memoranda. Secretary’s Memoranda
(SM) establish or announce changes in major policy concerning missions and
programs of the Department, direct or implement action on these programs, or
redirect or change policy or action in these areas. Examples include actions
which by law require the endorsement of the Secretary and delegations of
authority by the Secretary.
Items not requiring
the Secretary's endorsement should be issued in another format.
Offices
of Primary Interest must codify material of a permanent nature that was
originally issued as a temporary directive.
All such material is to be codified, within 1 year after issuance, in
either a Departmental Regulation or Manual. In the Codification/Expiration
block of Form AD-813, Departmental Notice, state the expiration date of the
issuance.
5. CLEARANCE
Offices of Primary
Interest (OPI) must coordinate and obtain formal clearance of proposed
directives with AFFECTED ORGANIZATIONS, particularly when policy or legal
implications are involved.
a. Mandatory
Clearances. It is mandatory that all
DRs, DMs, and SMs be cleared through the following offices.
(1) Office of the Chief Information Officer (OCIO) All Departmental directives and Secretary’s Memoranda must be cleared through OCIO-Departmental Directives Officer. List as the first and last clearance point on the AD-116 in block 8, Other Clearances. OCIO does not do simultaneous clearance.
(2) Office of the Chief Financial
Officer/Office of Budget and Program Analysis (OCFO/OBPA) will review the
document for budget and program considerations.
OCFO/OBPA does not do
simultaneous clearance.
(3) Office of the General Counsel (OGC)
will review the document for legal implications. OGC does
not do simultaneous clearance.
(4) Assistant Secretary for Administration
(ASA) will review all Departmental directives and
will be responsible for having the directive cleared within the scope of the
ASA’s authority, to include a review by Office of Human Resources Management
(OHRM), Labor Relations to determine if the Department has a national
consultation obligation under 5 U.S.C. Chapter 71. The ASA will receive the Directive after
optional clearance offices and mandatory offices review and clear the
directive. At the discretion of the ASA,
the directive may be routed to additional optional clearance offices. The ASA
does not do simultaneous clearance.
(5) Office of the Executive Secretariat: Will act as a
non-reviewing clearance official only when the Directive is to be signed in the
Office of the Secretary.
b. Optional Clearances. The OPI has the
discretion to determine the optional clearance officials. Mission Areas and Staff Offices that have a
direct role or responsibility under the proposed Directive are strongly
recommended clearance offices
c. Clearance
Order
(1) Office of Primary Interest
(2) OCIO
(3) Optional Clearances
(4) OCFO/OBPA
(5) OGC
(6) ASA
(7) OCIO
(8) OES (only if signed by the Secretary)
(9) Signature Authority
Note: if
any of the clearing offices make any changes to the proposed Directive after
OGC has reviewed, the proposed directive must be returned to OGC. OGC will review the changes for legal
sufficiency and send back to the clearing office that made the changes.
6. SIGNATURE AUTHORITY
Persons in specific
positions may issue policy, guidance and procedures within the scope of their
delegated authority and assigned functions:
a. Regulations,
Manuals, and Notices. The Secretary,
the Deputy Secretary, Under and Assistant Secretaries, other General Officers,
agency heads, and directors of Departmental staff offices. These officials may delegate Signature
Authority to their principal subordinates, and must notify OCIO, in writing of
such delegations.
b. Secretary's
Memoranda. Only the Secretary or
Acting Secretary may issue Secretary's Memoranda.
Signature Authorities will approve the issuance of Departmental
directives in accordance with their delegated authorities and assigned
functions by signing the AD-116. Secretary’s Memoranda can be signed on the
Directive itself or the AD-116.
7. EFFECTIVE
DATE
The
date that the signature authority signs the Form AD-116 is the effective date,
unless otherwise indicated under "SPECIAL INSTRUCTIONS." If the signature authority is the Secretary,
the effective date is the date the Secretary signed the Directive or the
AD-116.
8. CANCELLATIONS
DRs
and DMs can be cancelled by another Departmental directive or upon request from
the OPI. DNs and SMs can be cancelled
by:
(1) Another
Notice or Secretary's Memorandum, but only a Secretary's Memorandum can cancel
a Secretary's Memorandum;
(2) Codification into a Departmental Regulation or
Manual. The DR or DM should include the
cancellation instructions; and
(3) Expiration Date.
9. RESPONSIBILITIES
a. The
Office of the Chief Information Officer will:
(1) Establish policies, standards, and procedures
for the Departmental Directives System;
(2) Manage all
aspects of the Departmental Directives System, serving as a central control
point to prevent overlapping, duplication, and conflict;
(3) Provide assistance and advice to originators of
Departmental directives;
(4)
Recommend the issuance of new or revised Departmental directives to responsible
officials;
(5) Review all draft Departmental directives prior
to formal clearance to ensure that provisions of this regulation are met;
(6) Process approved Departmental directives
following formal clearance and approval.
Processing includes adding the classification number and date to all
pages, as well as assigning and adding the serial number to directives prior to
publishing;
(7) Manage the
Departmental Directives Classification System and ensure that all Departmental
directives are properly classified;
(8)
Maintain an electronic system and operating procedures to ensure immediate
access to Departmental Directives by posting to http://www.ocio.usda.gov/directives/index.html within 5 days after receipt of
signed Directive;
(9) Audit the Departmental Directives System, evaluate and approve suggestions for improving the directives system, eliminate Departmental directives when possible, and ensure that the Departmental Directives System agrees with other management programs and controls;
(10) Maintain
historical files of Departmental directives, including copies of current and
superseded directives, clearance forms, and other pertinent information; and
(11) Serve as a
mandatory clearance office for all Departmental directives and Secretary’s
Memoranda.
b. Department Agencies and Staff Offices will:
(1) Ensure that all USDA staff are aware of and
comply with the provisions of this regulation;
(2) Ensure
that all Departmental directives in their area of responsibility are complete,
accurate, and current;
(3)
Ensure the Departmental directives that are highly sensitive are not posted on
the USDA Internet. Directives containing
sensitive information will be so noted by the originating office;
(4) Maintain a system that permits access to
Departmental Directives within five days after issuance;
(5) Appoint a Directives System Liaison Officer
(DSLO) to manage, control, and coordinate all Departmental directive activities
within their organizations; and provide the name, complete mailing address, and
telephone number of the appointed DSLO (or any replacement) to the Departmental
Directives Manager. A list of the DSLOs
are posted at http://www.ocio.usda.gov/directives/index.html; and
(6) Maintain historical files of Departmental
directives, including copies of current and superseded directives, clearance
forms, and other pertinent information for directives for which they are
responsible.
c. Office
of Primary Interest will:
(1) Prepare Departmental directives within the scope
of their delegated authority;
(2) Determine the impact of external agency
directives (OMB, OPM, GSA, etc.) on assigned functions and issue Departmental
directives as appropriate to implement or incorporate the external
issuances;
(3) Verify if the directive contains sensitive
information by checking with a cyber security officer. If a directive contains sensitive information
it should not be posted to the internet and the directive should be clearly
identified as containing sensitive information.
The OPI will be responsible for distributing a directive containing
sensitive information to the affected parties;
(4)
Coordinate and clear proposed Departmental directives with affected
organizational units; (See DM 0100-001);
(5) Recommend a classification number and
distribution code(s);
(6) Type and proof Departmental directives. Prepare all directives using the departmental
enterprise solution.
(7) Provide a final using the departmental enterprise
solution document electronically on all newly approved directives to OCIO. OCIO will accept an email copy of the
directive and the OPI is responsible for ensuring that the electronic version
of the directive is the exact version of the paper document approved by the
agency official provided to OCIO;
(8) After issuance of a Departmental directive,
retain background material (e.g., comments received during clearance); and
(9) At least annually, review Departmental
directives for which they are responsible; and revise, rescind, or codify as
appropriate.
d. Clearance
Offices will:
(1) Participate
in informal coordination sessions when requested by the OPI;
(2) Review
proposed Departmental directives for organizational impact, coordinate with the
OPI for necessary changes and indicate formal concurrence/nonconcurrence;
(3) Return
comments to the OPI within three business days.
OGC and ASA will have ten business days to return comments to the
OPI. If the Clearance Office is not able
to complete the review within the specified timeframe, the Clearance Office
must request a formal extension in time from the OPI; and
(4) In the
case of disputes, will proactively work with the OPI to resolve areas of
conflict that promote the issuance of the directive and meet the needs of both parties.
e. The Assistant Secretary for Administration
will:
(1) Serve as a mandatory clearance official; and
(2) Route, at the discretion of the ASA, the directive to additional
optional clearance offices.
g. The
Office of the Executive Secretariat will:
(1) Forward the directive to the
Secretary for signature;
(2) Obtain
the signature of the Secretary of Agriculture and establish the effective date;
(3) Provide
a copy of the signed AD-116 and the final directive to the OPI and to the
Directives Manager; and
(3) Maintain the original copy,
original clearance form, and all relevant background material on all directives
signed by the Secretary.
h. Directives
System Liaison Officers will:
(1) Serve as liaison to OCIO on all
matters relating to the Departmental Directives System;
(2) Assist the
OPI in the clearance process of Departmental Directives.
(3) Assist the
OCIO with audit requests
10. DEFINITIONS
a. Agency. Organizational units of the Department, other
than staff offices as defined in 10r below, whose heads report to officials
within the Office of the Secretary, Deputy Secretary, Under and Assistant
Secretaries.
b. Agency
Directives. Issuances that originate
within Department agencies or staff offices as interpretations of internal or
external directives, or enabling legislation.
c. Classification. The arrangement of directives into categories
and subcategories according to their subject matter. In the Departmental Directives System,
categories are identified and their subdivisions logically related by a
numbering system.
d. Classification
Code. A number indicating the basic
subject matter of a specific directive; e.g., code 1041 indicates that the
subject of a directive is committee management.
e. Classification
Number. The number that uniquely
identifies each Departmental directive.
It consists of a series designator, a classification code, and a serial
number; e.g., DR 1041-001 would be the first Departmental Regulation on
committee management.
f. Codification. The issuance of a directive, appropriately
numbered, in permanent form, or the conversion of a temporary directive to
permanent issuance.
g. External
Directives. Federal regulations,
Executive Orders, or other issuances that originate outside USDA but may apply
to USDA operations.
h. Format. The design of directive pages for positioning
constant information such as directive number, subject, OPI, date, page number,
margins, etc.
i. Head. Agency Administrator,office director, or the
person acting as head.
j. Mandatory
Clearance Office. A clearance office
that directives must be cleared through prior to issuance.
k. Office
of Primary Interest. The office
responsible for the origination and content of a directive related to a
particular function or program.
l. Office
of the Secretary. This term includes
the immediate office of the Secretary, the Deputy Secretary, the Under and
Assistant Secretaries.
m. Rescission. The cancellation of a directive.
n. Revision. A complete rewrite and reissuance of an
existing Departmental Regulation or Manual.
o. Secretary. The Secretary of Agriculture.
p. Series
Designator. An alphabetical
abbreviation indicating the series of a particular Departmental directive (e.g.,
DR, DM, DN, SA, SM).
q. Signature
Authority. The office/person that
approves the directive in accordance with delegated authorities and assigned
functions
r. Staff
Office. Departmental administrative
offices whose heads report to officials within the Office of the Secretary.
11. ABBREVIATIONS
AD Agriculture Department (for
forms use only)
ASA Assistant
Secretary for Administration
DM Departmental
Manual
DN Departmental
Notice
DR Departmental
Regulation
DSLO Directives
System Liaison Officer
OCFO Office
of the Chief Financial Officer
OCIO Office
of the Chief Information Officer
OES Office
of the Executive Secretariat
OGC Office
of the General Counsel
OHRM Office
of Human Resources Management
OPI Office
of Primary Interest
SM Secretary's
Memoranda
12. FORMS
Use the following
forms to prepare, clear, and issue Departmental directives. These forms are available electronically at http://www.ocio.usda.gov/forms/index.html.
a. Form AD-116: Clearance
and Approval for Departmental Issuances
b. Form AD-778: Secretary's
Memorandum (first page)
c. Form AD-811: Departmental
Regulation (first page)
d. Form AD-812: Departmental
Manual (first page)
e. Form AD-813: Departmental
Notice (first page)
13. PROCEDURES
Departmental
Manual (DM) 0100-001, Procedures for Preparing Departmental Directives contains
procedures to use when implementing Departmental Regulation (DR) 0100-001.
END