U.S. DEPARTMENT OF AGRICULTURE
WASHINGTON, D.C. 20250
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DEPARTMENTAL REGULATION
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Number: 0100-001 |
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SUBJECT: Departmental
Directives System |
DATE: December
20, 2006 |
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OPI: |
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Section Page
1 Purpose 1
2 Special
Instructions 1
3 Policy
for Departmental Directives 2
4 Responsibilities 6
5 Definitions 10
6 Abbreviations 11
7 Forms 12
8 Procedures 12
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 July 25, 1996
b. The principal changes to DR 0100-001 are as
follows:
(1)
New procedures for clearing, publishing and having electronic access to
Departmental Directives. (See DM
0100-001)
(2)
Departmental Directives that are not highly sensitive in nature and are
not for a specialized audience will be posted to http://www.ocio.usda.gov/directives/index.html
c. All Departmental Directives MUST be prepared
using MS WORD.
d. All Departmental directives signed by the
Secretary must go through the Office of the Executive Secretariat twice, once
as part of the overall review process to ensure that the draft is appropriate
for the Secretary’s signature and again when the final signature package is
delivered to OES for the Secretary’s signature.
e. The proper process for the preparation,
coordination and distribution of the Directives System has been moved to
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
a. 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.
b. 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.
(1) Permanent Directives are continuing
directives that are in force until specifically canceled. They are:
(a)
Regulations. Departmental
Regulations (DR) promulgate Departmental policy; delegate authority; establish
responsibility; establish statutory, national advisory 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.
(b)
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.
(2) Temporary Directives. Temporary Directives are not to exceed one
year and CANNOT BE AMENDED. They are:
(a) Notices. Departmental Notices (DN) announce:
1 Policy or procedure
of Departmentwide interest that is temporary or of a one-time nature that
normally addresses a single subject;
2 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
3 Delegations of
Authority from Assistant Secretaries and other General Officers pending
publication in the Federal Register.
(b)
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.
(3) Other Departmental Issuances. There are issuances with Departmentwide
interest which are non-directive in nature, and which ARE NOT part of the
Departmental Directives System. They
are:
(a) Secretary's
Announcements. This is the
Secretary's vehicle for issuing transitory material of special interest and
other information, which does not conform to the
description of a directive. While they
are NOT part of the Departmental Directives System, OCIO will review and
process them to ensure that they do not contain directive material.
(b) Departmental Announcements. The vehicle that the Deputy Secretary, Under
and Assistant Secretaries, General Officers, and heads of agencies and staff
offices use for announcing informational items of wide interest (outside their
own agency or staff office) that need not be signed by the Secretary. Examples of such material are special
interest days or weeks or "drives" where participation is
discretionary in nature. The sponsoring
agency will process these Announcements.
c. Office of Primary Interests (OPI) must
coordinate and obtain formal clearance of proposed directives with AFFECTED
ORGANIZATIONS, particularly when policy or legal implications are involved.
d. The agencies and staff offices manage
internal issuances which interpret Departmental directives, external
directives, or which enable legislation.
They are not required to follow the format prescribed in the
Departmental regulation.
e. Persons in
specific positions may issue policy, guidance and procedures within the scope
of their delegated authority and
assigned functions:
(1)
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.
(2)
Secretary's Memoranda and Secretary’s Announcements. Only the Secretary or Acting Secretary may
issue Secretary's Memoranda and Secretary’s Announcements.
f. The
date that the signature authority signs the Form AD-116, Clearance and Approval
for Departmental Issuances (AD-116) is the effective date, unless otherwise
indicated under "SPECIAL INSTRUCTIONS."
g. Office of Primary Interests 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 or in an agency directive, as appropriate. In the Codification/Expiration
block of Form AD-813, Departmental Notice, state the expiration date of the
issuance. Recommended statements are:
(1)
To be codified in (document) OR will expire (date).
(2)
Will not be codified; expires (date) OR (event).
h. 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.
i. It is mandatory that all DRs, DMs, SAs 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.
(2) Office of
the Executive Secretariat: All
Departmental directives signed by the Secretary must go through OES twice, once
as part of the overall USDA review/clearance process to ensure that the draft
is appropriate for the Secretary’s signature and again when the final signature
package is delivered to OES for the Secretary’s signature.
(3) Assistant Secretary for Administration (ASA): All Departmental
directives signed by the Secretary, Deputy Secretary, and Under and Assistant
Secretaries must be cleared through the ASA.
The ASA’s office must clear the directive within the scope of the ASA’s
authority, to include a review by Office of Human Capital Management (OHCM),
Labor Relations to determine if the Department has a national consultation
obligation under 5 U.S.C. Chapter 71.
Directives signed at Agency Head and Staff levels may still require
review by OHCM, Labor Relations and should be consulted during this process.
(4) Office of the General Counsel (OGC)
will review all Departmental issuance signed by the Secretary, Deputy
Secretary, Under Secretaries, and Assistant Secretaries as well as those being
signed at a lower level that have legal implications. OGC does not do simultaneous clearance. OGC will receive the directive after all other offices have
cleared and before OBPA
(5) Office of Budget and Program Analysis: OBPA does not perform
simultaneous clearance of Departmental directives. OBPA will clear all
Departmental directives after all other clearances have been obtained.
The order for
mandatory clearances is OCIO, OES (If signed by the Secretary), ASA (if
appropriate), OGC and OBPA.
j. Signature Authorities will
approve the issuance of Departmental directives in accordance with their
delegated authorities and assigned functions by signing the AD-116, Clearance
and Approval clearance sheet. This includes Departmental Regulations,
Departmental Manuals, and Departmental Notices.
4. 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 finalization;
(9)
Assist the Office of Primary Interest in ensuring that concurrences are
received from the other mandatory review offices ASA, OGC and OBPA;
(10) Periodically 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;
(11)
Maintain historical files of Departmental directives, including copies of
current and superseded directives, clearance forms, and other pertinent
information; and
(12)
Serve as a mandatory clearance office for all Departmental directives and
Secretary’s Memoranda.
b. Department Agencies and Staff Offices will:
(1)
Ensure that their staffs 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)
Ensuring that 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 Directive 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. Offices 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 or amend Departmental directives as appropriate to
implement or incorporate the external issuances;
(3)
Determine whether the directive will contain sensitive information by checking
with your cyber security officer. If a
directive contains sensitive information it should not be posted to the
internet. Also, the directive should be
clearly identified as containing sensitive information;
(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 Times New Roman 12 pt. Font in MS WORD;
(7)
Provide a final camera-ready paper copy and final MS WORD document on a
diskette or CD 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, amend, 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 by the
established deadline or request a formal extension in time; 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
Office of the Executive Secretariat will:
(1) Ensure that
directives designated for signature by the Secretary are appropriately written
and completely cleared,
(2) Forward the directives to the Secretary for
signature;
(3) Maintain the camera copy, original clearance
form, and all relevant background material on all directives signed by the
Secretary; and
(4) Obtain the signature of the Secretary of Agriculture on the last page
of the Secretary’s Memorandum and the AD-116.
f. Office
of Operations will:
(1) Request an
Automated Mailing List to prepare mailing labels as required for a particular distribution that is not
electronic;
(2)
Distribute copies of Departmental directives according to distribution
instructions; and
(3) Review, approve, establish,
consolidate, and delete mailing lists.
g. Directives System Liaison Officers will:
(1)
Serve as liaison to OCIO on all matters relating to the Departmental Directives
System;
(2)
Establish distribution lists for Departmental directives within their
organization and ensure that these directives are distributed on a need-to-
know and need-to-act basis;
(3)
Approve requests from their organization for supplemental distribution of
directives; and
(4)
Assist the OPI in the clearance process of Departmental Directives.
h. Assistant Secretary for
Administration will:
(1) Serve as a mandatory clearance office; and
(2) Review all Departmental directives signed by the
Secretary, Deputy Secretary, and Under and Assistant Secretaries.
i Office of the General
Counsel will:
(1) Serve as a mandatory clearance office; and
(2) Review all Departmental directives signed by the
Secretary, Deputy Secretary, and Under and Assistant Secretaries.
j. Office of Budget and Program
Analysis will:
(1) Serve as a mandatory clearance office authority; and
(2) Review all Departmental directives signed by the
Secretary, Deputy Secretary, and Under and Assistant Secretaries.
5. DEFINITIONS
a. Agency. Organizational units of the Department,
other than staff offices as defined in 5t 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. Amendment. A change to part of a Departmental Manual.
d. Camera
Copy. The final approved version of
a directive that is ready for reproduction.
e. 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.
f. 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.
g. 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.
h. Codification. The issuance of a directive, appropriately
numbered, in permanent form, or the conversion of a temporary directive to
permanent issuance.
i. External
Directives. Federal regulations,
Executive Orders, or other issuances that originate outside USDA but may apply
to USDA operations.
j. Format. The design of directive pages for
positioning constant information such as directive number, subject, OPI, date,
page number, margins, etc.
k. Head. Agency Administrator,office director, or the
person acting as head.
l. Mandatory
Clearance Office. A clearance
office that directives must be cleared through prior to issuance.
m. Office
of Primary Interest. The office
responsible for the origination and content of a directive related to a
particular function or program.
n. Office
of the Secretary. This term
includes the immediate office of the Secretary, the Deputy Secretary, the Under
and Assistant Secretaries.
o. Rescission. The cancellation of a directive.
p. Revision. A complete rewrite and reissuance of an existing
Departmental Regulation or Manual.
q. Secretary. The Secretary of Agriculture.
r. Series
Designator. An alphabetical
abbreviation indicating the series of a particular Departmental directive
(e.g., DR, DM, DN, SA, SM).
s. Signature
Authority. The office/person that
approves the directive in accordance with delegated authorities and assigned
functions
t. Staff
Office. Departmental administrative
offices whose heads report to officials within the Office of the Secretary.
6. ABBREVIATIONS
AD Agriculture Department (for
forms use only
AML Automated Mailing List
DM Departmental
Manual
DN Departmental
Notice
DR Departmental
Regulation
DSLO Directives
System Liaison Officer
ITM Information
& Technology Management
M&RMD Mail and Reproduction Management Division
OBPA Office
of Budget and Program Analysis
OCIO Office
of the Chief Information Officer
OES Office
of the Executive Secretariat
OGC Office
of the General Counsel
OHCM Office
of Human Capital Management
OO Office
of Operations
OPI Office
of Primary Interest
SA Secretary’s
Announcement
SM Secretary's
Memoranda
7. 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
or hard copies are available through the Beltsville Service Center.
a. Form
AD-116: Clearance and Approval
for Departmental Issuances
b. Form
AD-778: Secretary's Memorandum
(first page)
c. Form
AD-778a: Secretary’s
Announcement
d. Form
AD-811: Departmental
Regulation (first page)
e. Form
AD-812: Departmental Manual
(first page)
f. Form
AD-812a: Amendment to
Departmental Manual
g. Form
AD-813: Departmental Notice
(first page)
h. Form
AD-814 Second page (Optional)
to all Directives pages listed above
8 PROCEDURES
Departmental
Manual (DM) 0100-001, Procedures for Preparing Departmental Directives contains
procedures to use when implementing Departmental Regulation (DR) 0100-001.
END