Effective Date: 1/7/03

Series: Departmental Management

Part 301: Major Program Issues and Decisions

Chapter 1: Secretarial Options Papers

Originating Office: Office of Executive Secretariat and Regulatory Affairs

1.1 Purpose and Scope. This chapter sets forth guidelines for preparing options papers to present substantive issues and program matters to the Secretary or Deputy Secretary for their consideration. The policy in this chapter does not apply to decisions made through the Departmental budget process or the legislative clearance process.

1.2 Definitions.

A. Secretarial official means an Assistant Secretary or the Director of an office that reports to the Secretary or Deputy Secretary.

B. Secretariat means the Deputy Secretary, Solicitor, Assistant Secretaries, Inspector General, and offices that report to the Secretary or Deputy Secretary.

C. Secretary means the Secretary or the Deputy Secretary.

1.3 Policy. Any proposal for action by the Secretary must be in the form of an options paper that contains alternative actions from which the Secretary may choose. Each options paper must:

A. Concisely present two or more alternative actions for the Secretary to take, each of which represents completed staff analysis of the issue;

B. Reflect adequate coordination and consultation and, when appropriate, be accompanied by a separate statement from each office having a direct responsibility or special expertise concerning the issue;

C. Be provided to the Secretary for consideration sufficiently in advance of scheduled meetings or action-forcing events to permit adequate review;

D. Reflect meaningful public participation and include input as necessary from the Congress, other Federal agencies, State and local governments, Indian tribes, interested groups, and the general public.

E. Be transmitted to the Secretary through the Office of the Executive Secretariat and Regulatory Affairs (OES).

1.4 Types of Options Papers. If a proposed action or policy does not require detailed analysis or involve significant controversy, prepare a simple options paper as required by section 1.5. If an action or policy involves a significant legal, budgetary, environmental, economic or policy question, or involves competing Departmental goals, prepare a complex options paper as required by section 1.6.

1.5 Simple Options Paper.

A. Content. A simple options paper must contain:

(1) A statement of the issue;

(2) A brief background of the matter;

(4) At least two options from which the Secretary may choose, with approval lines for each.

1.6 Complex Options Paper.

A. Content. Each complex options paper must be a concise and objective document that contains at least two options for the Secretary to choose from. It must clearly set forth the pros and cons of each option. Each complex options paper must contain the following elements:

(1) A cover sheet succinctly summarizing the options and providing an approval line for each;

(2) A summary if the options paper is more than 10 pages long;

(3) An analysis of program, social, environmental, and other factors related to each option;

(4) An implementation plan for each option; and

(5) Attached memoranda that concisely set forth bureau and office positions on each proposed option (see paragraph 1.6C).

B. Consultation. The lead Secretarial official or OES will coordinate early consultation and circulate draft options papers for comment. Consultation and circulation ensure that all realistic options and outcomes are included in the paper.

C. Policy Review. The Secretary must receive recommendations of all offices with direct responsibility for and special expertise in the matter under consideration. To ensure this, OES will:

(1) Circulate the final complex options paper for recommendations;

(2) Summarize recommendations and organize additional material for the Secretary;

(3) Transmit the final complex options paper, recommendations, draft press release and additional documents to the Secretary through the Chief of Staff at or before noon, two days before a scheduled decision meeting or action-forcing event; and

D. Additional Documents to be Attached to the Complex Options Paper.

(1) The lead Secretarial official must transmit the complex options paper to the Secretary through OES and the Chief of Staff by a transmittal memorandum that:

(b) Should include discussion of any special requirements for meetings or recommendations on the timing of the decision or for notifying parties outside the Department.

(2) The lead Secretarial official will provide to OES a draft press release to be included in the package when submitted to the Secretary.

1.7 Responsibilities.

A. Secretarial Officials are responsible for:

(1) Ensuring that staff members identify as early as possible issues requiring complex options papers;

(2) Consulting with the Assistant Secretary - PMB, Office of Policy Analysis to ensure that the options paper contains adequate analysis and to minimize the necessity for revision;

(3) Consulting with the Solicitor to ensure that all options are fully addressed and legally sufficient;

(4) Obtaining public input and reflecting this input in the options presented to the Secretary (public consultation may include Members of Congress, Federal, State and local government officials, Indian tribes, citizen groups, user groups and local citizens);

(5) Allowing adequate time for options paper development, consultation, and review;

(6) Ensuring the high quality of documents and comments; and

(7) Providing implementation schedules to OES when requested.

B. Assistant Secretary - PMB, Office of Policy Analysis will:

(1) In consultation with the lead Secretarial official, ensure quality review of complex options papers and summaries, including: determining the need for and adequacy of special studies, assigning staff to lead or assist in preparing or revising the options paper, circulating draft options papers for comments; and

(2) Review and provide analysis as necessary for every options paper that:

(i) Concerns major Federal approval actions within the meaning of NEPA for which EISs are prepared and that involve a potential major conflict among environmental and other considerations;

(ii) Could commit the Department to a major new program or policy with implications for the allocation of resources and/or Federal funds;

(iii) Raises very important or highly controversial questions of policy on environmental, social, or economic issues; or

(iv) Involves highly complex alternatives and competing Departmental goals.

C. The Solicitor reviews options papers referred by OES and reviews all requests for release of Secretarial options papers to the public. Availability of documents is governed by 43 CFR 2. The Solicitor will inform the Office of Communications (OCO) of any decision not to release a decision document.

D. OES responsibilities include:

(1) Reviewing all options papers to ensure compliance with this chapter.

(2) Coordinating and clearing all complex options papers.

(3) Working with the Chief of Staff to schedule decision meetings and briefings for the Secretary.

(6) Monitoring notifications to parties outside of the Department.

1.8 Timing. In addition to the time required to obtain surnames and approvals from all concerned bureaus and offices, allow additional time as required by this section.

A. Allow at least one week for OES to circulate a complex options paper to the Secretariat for final recommendations.

B. OES will submit complex options papers, together with the recommendations of the Secretariat, by noon at least two days before scheduled meetings or action-forcing events. If documents are especially complex, allow more time for review by the Secretary.

C. If you are preparing an Environmental Impact Statement (EIS), begin work on the complex options paper at the same time as work on the final EIS.

1.9 Summary of the Complex Options Paper Process. The table below summarizes the responsibilities outlined in section 1.7.

1/7/03 #3550

Replaces 1/15/79 #2143