431.5, Directives Management

Issuance Number:    431.5

Subject:                          Directives Management       

Issuance Date:           7/13/2022

Expiration Date:       6/18/2027

Responsible Office:  Office of Administration, Office of Policy and Analysis

Instruction:                This supersedes Survey Manual (SM) chapter 431.5, dated August 24, 2009.

Approving Official:   /s/ Roseann Gonzales-Schreiner

                                      Deputy Director for Administration and Policy

1.    Purpose.  This SM chapter describes the U.S. Geological Survey (USGS) Directives System.  The USGS Directives System provides the responsibilities and standards for the preparation, clearance, approval, and publication of Bureau-level policy and procedure.

2.    Scope.  This SM chapter applies to all USGS offices that review, draft, and maintain Bureau-level policy and procedure.

3.    Authority.  

A.  5 U.S. Code (U.S.C.) § 552, Public information; agency rules, opinions, orders, records, and proceedings, as amended, requires each Federal agency to make statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register, as well as administrative staff manuals and instructions to staff that affect a member of the public, available electronically to the public for inspection and copying.

B.  44 U.S.C. § 3101, Records management by agency heads; general duties, requires heads of agencies to make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency.

C.  Departmental Manual (DM), 381 DM 1, Directives Management, requires the development and implementation of Bureau-specific directives systems.

4.    Policy.  

A.  USGS activities are governed by Federal Government-wide, Department of the Interior (DOI), and USGS policy and procedure.  Government-wide policy and procedure includes, but is not limited to, the Federal Acquisition Regulations, Federal Property Management Regulations, Treasury Financial Manual, and guidance from the USGS Ethics Team, Departmental Ethics Office, Office of the Solicitor.  DOI policy and procedure includes, but is not limited to, the DM, Secretary’s Orders, and Departmental handbooks.  USGS issues Bureau-level policy and procedure through the USGS Directives System in the form of SM chapters, SM handbooks (SM-H), Instructional Memoranda (IM), and Bureau-level Operating Procedures, further defined in Section 5.W., Definitions, below. 

B.  USGS directives must undergo a clearance process provided in SM-H 431.5, Directives Management Handbook.  A draft directive requires multiple surnames based on organization structure in the Data Tracking System (DTS) prior to signature, and each directive includes only one digital signature block, which is required for high level assurance.  Approving Officials are enumerated in Section 6, Approving Officials. 

C.  An Approving Official may not sign a directive that has unresolved dissenting opinion(s) or fatal flaw(s).  The Deputy Director for Administration and Policy (DD-AP) may use their discretion in overwriting a dissenting opinion by providing a decision in DTS which will become a Memorandum for the Record (MFR).  

D.  The DD-AP may use their discretion when approving any special variance to the clearance process.  The DD-AP’s decision will become an MFR under the DTS action item. 

E.  The Office of Policy and Analysis (OPA) will place a “posting hold” on any directive that is signed without having undergone a clearance process provided in SM-H 431.5.  OPA will socialize any such directives with the Associate Director for Administration and (or) the DD-AP for corrective action (e.g., removing any non-Survey Manual web posts, retracting related announcements, revising the directive prior to posting it to the Survey Manual web site, and (or) rescinding the directive if it has already been disseminated by other electronic means).  

F.  OPA, in coordination with the Associate Director for Administration and (or) DD-AP, may remove outdated or inaccurate content from the public-facing Survey Manual web site.  The Responsible Office (RO) may request that OPA cancel/archive a directive under their purview when the directive is superseded by other guidance, such as a DM chapter, or otherwise becomes obsolete. 

G.  OPA will maintain directives in DTS and in the USGS Directives System internal site in accordance with SM 431.6, Records Disposition and the associated Record Disposition Schedule.  

H.  A directive will expire 3-5 years after the date of issue depending on the needs of the Bureau, or when an update occurs, whichever comes first.  OPA may include an expiration date outside of these parameters on a case-by-case basis.  

5.    Definitions.

A.  Appendix.  A document that serves to support a permanent directive, but which is not a figure (see subsection J. below for the definition of a figure).   For example, appendices may include delegations of authority lists or other long lists of information.

B.  Attachment – A document that serves to support a temporary directive, in any form.

C.  Clearance Process – The USGS process for proposing, reviewing, approving, and communicating changes to directives.  The requirements for this process are available in in SM-H 431.5.

D.  Concurrence – An office or individual agrees with a proposed action and records this agreement by adding their surname to the record (typically via DTS).

E.  Data Tracking System – The internal system of record for obtaining surnames and routing finalized drafts for signature. 

F.  Directive – A written authoritative instruction that states policies and initiatives which govern the specific activities of an organization.  USGS directives do not supersede higher-level authorities, such as statutes, regulations, Executive Orders, or Departmental directives.  The USGS Directives System includes both permanent and temporary directives.  A permanent directive is long-standing or relevant to USGS operations for 3-5 years.  A temporary directive is limited in scope and is short-term, with a lifespan of approximately 1-3 years.  A temporary directive may be re-issued at the end of 3 years if needed.  Otherwise, at the end of 3 years, the temporary directive is either canceled in full or it is canceled and superseded by an SM chapter.

G.  Directives Archive – The USGS collection of inactive directives which may still have relevance for research purposes.

H.  Dissenting Opinion – A reviewer may document their disagreement with parts of a draft directive or the directive in full.  The appropriate RO works to resolve dissenting opinions at the lowest level possible and may defer to the DD-AP for a final determination, as needed.  OPA maintains a record of dissenting opinions in the respective comment matrix. 

I.  Fatal Flaw Review – OPA may solicit “show-stopper only” feedback for a draft directive in accordance with the clearance process provided in SM-H 431.5.  A fatal flaw review request means that OPA is tasking reviewers with identifying any language in the draft that does not appear to meet the purpose or objectives of the directive, any gaps in policy where the responsible person or required action is unclear or inconsistent, any known conflicts with existing law or policy, and (or) any incorrect or omitted citations.

J.  Figure – A visual aid that supports a directive, such as a diagram, flow chart, or image.  An RO may choose to embed the figure in the directive, attach it to the web page, or link to it on a separate web page.

K.  Internal Review – An RO-level review of a draft directive or revisions to an existing directive.  The internal review includes any key stakeholders and subject matter experts who can ensure the information is accurate and complete.  The RO’s internal review may lead to their decision to pursue the formal directives clearance process.  The RO documents the outcomes of internal review in a Correspondence Brief addressed to OPA.    

L.  Major Revisions – Revisions that significantly change the purpose, scope, requirements, responsibilities, and (or) organizational structure in a directive.  For example, major revisions may include updates to authorities, delegations, definitions, and general procedures.  Major revisions require full clearance.

M.  Minor Revisions – Revisions that are limited to typographical errors, formatting, web page issues, specific changes mandated by higher-level policy or law, and (or) sentence and paragraph structure that do not alter the meaning of the text.  Minor revisions do not require full clearance.

N.  Policy – A rule-based instruction that governs a specific activity in the organization.  USGS policy includes at least one requirement and sets the framework for Bureau-level business decisions.

O.  Policy Coordinators – USGS personnel assigned by their respective RO to coordinate or lead directives efforts under the RO’s purview.  Policy Coordinators may also be called “Policy Leads” and serve as the RO’s Point of Contact for a specific directive. 

P.  Posting Hold – This is an OPA-hold on any directive where there is a question about the directive’s clearance status.  OPA will consult the Associate Director for Administration and (or) the DD-AP for a final determination of a directive’s posting disposition, as needed.  OPA will not knowingly post or disseminate directives which have not fulfilled the clearance requirements authorized by this chapter.  

Q.  Procedure – A series of standard actions, or steps, that guide the implementation of a policy.

R.  Recertification – OPA may recertify an expiring directive by requesting a new date and signature block from the Approving Official when the RO confirms that no revisions, or only minor revisions, are needed for the directive to remain current.  When this is the case, the directive is exempt from the full clearance process.  OPA ultimately defers to the DD-AP for a decision on clearance requirements, as needed.

S.  Responsible Office – The USGS office that is responsible for the development and maintenance of any directive under its purview.  A directive may include multiple ROs as points of contact when the core activities addressed in the directive are overseen by multiple offices or groups.

T.  Standard Review.  Standard review includes all of the criterion for Fatal Flaw review as well as suggestions for improved readability, sentence structure, grammar, office coordination, hyperlinks, and references.

U.  Surname – A reviewer’s act of concurring with an RO’s proposed action item in DTS by adding their name to the routing log.  Any non-supervisor surnaming a DTS action on behalf of an office must coordinate with the office supervisor as appropriate.

V.  Signature Approval – An Approving Official approves a directive by adding their digital signature to the final draft.  In conjunction with the signature, the Approving Official may also surname related attachments in DTS as needed.

W.  USGS Directives System – This system of record is comprised of the following:

(1)  Permanent Directives.

(a)  Survey Manual Chapters – SM chapters communicate long-term Bureau-level policies and basic procedures that govern USGS structure, operations, and activities.  SM chapters interpret or further restrict requirements listed in higher-level policy such as the DM.  SM chapters are not intended to simply restate existing law or higher-level policy.  SM chapters typically include at least one authority as well as a complete list of responsibilities for the activities covered by the chapter.  Committee charters with Bureauwide impact or influence are issued as SM chapters under Part 308. 

(b)  Survey Manual Handbooks – SM-Hs communicate the long-term detailed Bureau-level procedures that implement the requirements in SM chapters or other higher-level policy such as the DM.  An SM-H is typically authorized by a SM chapter with the same nomenclature (for example, SM-H 431.5 is authorized through SM 431.5).  Field Guides or subject-specific Manuals that are applicable Bureau-wide and are authorized independently of an SM chapter are a sub-category of SM-H. 

(c)  Bureau-level Operating Procedure – Bureau-level Operating Procedures communicate Bureau-level guidance that is based on law or regulation and is primarily non-interpretive of that law, regulation, or Government-wide policy and procedure.  Bureau-level Operating Procedure may restate existing law, higher-level policy, and Bureau-level policy and procedure, as needed.  

(2)  Temporary Directives.  The IM is the only type of temporary directive in the USGS Directives System.  IMs communicate short-term Bureau-level policy and general procedure and will expire within 3 years without additional review.  IMs are published to the public-facing Survey Manual web site and so do not contain hyperlinks to internal USGS web sites.  ROs should use internal office policy and procedure for issuing a ‘memorandum’ or ‘memo’ that communicates procedural guidance with limited scope/audience.

6.    Approving Officials.  

A.  Permanent Directives.

(1)  Survey Manual Chapters.  The Director, DD-AP, or the cognizant Executive Leadership Team (ELT) member (responsible for the activity covered in the SM chapter) are the only USGS officials authorized to sign the SM chapter.  

(2)  Survey Manual Handbooks.  The cognizant ELT member or manager with Bureau-wide responsibility for the activity covered in the SM-H signs the SM-H. 

(3)  Bureau Operating Procedure.  The cognizant ELT member or manager with Bureau-wide responsibility for the activities covered in a Bureau-level Operating Procedure approves the final Bureau Operating Procedure.  The respective Office Chief may approve Bureau-level Operating Procedure updates on behalf of the ELT member with written permission. 

B.  Temporary Directives.

(1)  Instructional Memoranda.  The Director, DD-AP, or the cognizant ELT member (responsible for the activity covered in the IM) are the only USGS officials authorized to sign the IM.

7.    Responsibilities.

A.  Director – Responsible for upholding and protecting Bureau-level policy and procedural guidance through the USGS Directives System in consultation with, and on the advice of, the ELT per SM 308.75, USGS Executive Leadership Team.  The Director delegates policy and program objectives, as well as direct line supervision over Bureau-level science support activities, to the DD-AP per SM 120.2, Office of the Director.

B.  Deputy Director for Administration and Policy – In addition to delegations from the Director, the DD-AP is responsible for ultimate oversight of the USGS Directives System including, but not limited to, providing final decisions on dissenting opinions that cannot be resolved at lower levels, and approving variances to the clearance process.

C.  Associate Director for Administration – Responsible for establishing and implementing USGS Directives System requirements, addressing or elevating any unresolved dissenting options that result from the clearance process to the DD-AP as needed, and appointing a Bureau Directives Officer.

D.  Deputy Director for Administration and Policy, Deputy Director for Operations, Chief Scientist, Chiefs of Staff, Associate Directors, Regional Directors, Executive Leadership Team Members, Fundamental Science Practices Advisory Council, and other Reviewers – Responsible for providing input on draft directives via USGS Directives System shared files, reporting areas of significant concern with draft directives via the appropriate comment matrix, ensuring that offices under their purview comply with signed directives, and providing surnames on proposed action items in DTS within specified time frames and review parameters.

E.  Heads of Responsible Offices – Responsible for the following:

(1)  Conducting an internal review of any SM chapters, SM-Hs, and IMs under their office’s purview in accordance with this SM chapter and the clearance process in SM-H 431.5 to ensure the directives are accurate and complete, revising when necessary, and requesting that OPA move directives into the directives archive when obsolete.

(2)  Conducting an internal review of any Bureau-level Operating Procedures under their office’s purview on a rolling basis, and formally clearing them through a process established by the RO and the respective Approving Official.   

(3)  Updating any directives under their office’s purview in accordance with updates to Government-wide, DOI, and other USGS requirements.

(4)  Ensuring their directives are Section 508 compliant prior to routing to OPA.

(5)  Coordinating draft directives with affected organizations and key stakeholders, and ensuring their input is included, as appropriate.  ROs are also responsible for requesting Regional, Center, and Fundamental Science Practices Advisory Council (FSPAC) input on draft directives in the Program Series or that otherwise affect science groups. 

(6)  Providing input on draft directives shared with them by other offices within the specified time frames and review parameters.

(7)  Resolving any dissenting opinions that arise during the clearance process at the lowest level possible.

(8)  Appointing at least one Policy Coordinator for the office.

F.  Bureau Directives Officer, Office of Policy and Analysis – Responsible for the following:

(1)  Implementing standards for the USGS Directives System, including the clearance process, oversight for system notifications, and reports as required.

(2)  Ensuring directives are available in electronic format, undergo Section 508 compliance review prior to posting, and are communicated in a timely manner.

(3)  Providing oversight for the directives control numbering system – Series, Part, chapter, title, and DTS control number.

(4)  Providing guidance and training on USGS Directives System activities, as needed.

(5)  Implementing minor revisions to USGS Directives System content via use of an MFR, as needed.

(6)  Coordinating with the DOI Office of the Solicitor, the Office of Human Resources, and other reviewers in accordance with SM-H 431.5.

G.  Policy Coordinators – Responsible for the following:

(1)  Communicating with the Bureau Directives Officer on any updates needed for directives under their office’s purview.

(2)  Communicating with the Bureau Directives Officer on any reassignment of the Policy Coordinator(s).

(3)  Responding to requests/reports that originate from the Bureau Directives Officer, such as status reports for expiring directives.

(4)  Sharing Section 508 compliant files with the Bureau Directives Officer via their office’s assigned workspace in the USGS Directives System internal site and updating metadata per the Directives System Guide available on the USGS Directives System internal site.

(5)  Using directives templates and other resources that OPA provides via the USGS Directives System internal site, as appropriate.

(6)  Ensuring their management officials are aware of concerns and issues related to directives under their office’s purview during the clearance process.

(7)  Participating in Directives Management training as prescribed by OPA, the Associate Director for Administration, or the DD-AP.

H.  Office of Human Resources – Responsible for soliciting feedback on review requests, as needed, from locations with existing unions and resolving any related issues with the RO.

8.    General Procedure.  SM-H 431.5, Directives Management Handbook, contains detailed preparation and clearance procedure.  Contact the Bureau Directives Officer with related questions.

9.    Consultation with Employee Organizations.  Certain employee organizations have the right to be consulted by the Office of Human Resources before issuance of new or revised policy that pertains to personnel or working conditions.  The RO must notify the Bureau Directives Officer when their directive relates to safety, facilities, and food service activities.  The RO must also notify the Bureau Directives Officer when their directive relates to USGS scientific activities for proper coordination with the FSPAC.