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DLMS 1 Chapter 100 - Departmental Directives System

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DLMS 1 Chapter 100 - Departmental Directives System

    August 10. 2004

    Chapter Reference:

Chapter 100- Departmental Directives System

    This chapter has been revised to include the following: - All organizational references have been revised to reflect OASAM

    agency name change. Also the responsibility for managing and

    maintaining DLMS has been moved from ITC to BOC. - The numbering sequence for Secretary’s Orders has been changed to

    full four digit date to reference policies published in the new

    millennium.

    - Temporary directives and handbooks are no longer covered under the

    Departmental Directives System.

    - A formal step-by-step clearance process has been defined to ensure

    timely processing of critical policies.

     Please post DLMS 1 Chapter 100 on LaborNet.

     PATRICK PIZZELLA

    Assistant Secretary for Administration and Management

     DLMS - 1

    RECORDS MANAGEMENT

    Chapter 100 - Departmental Directives System

100 INTRODUCTION TO THE DEPARTMENTAL DIRECTIVES SYSTEM (DDS)

101 Purpose. This chapter describes those departmental

    directives authorized for distribution, assigns

    responsibilities for the operation and management of the

    system, and designates the procedures and standards to be

    followed in preparing and issuing directives.

102 Scope. The provisions of this chapter apply to all

    departmental Agencies and Regional offices.

103 Definition. A directive is any written communication which:

     A. Designates or establishes policy, organization,

    conduct, methods, or procedures except for topical

    handbooks.

     B. Requires action or gives information necessary for the

    effective administration or operation of activities

    concerned.

     C. Contains authority or information that requires format.

    104 Organizational References:

     OAS Office of Administrative Services, Business

    Operations Center, Office of the Assistant

    Secretary for Administration and Management

     BOC Business Operations Center, Office of the

    Assistant Secretary for Administration and

    Management

     OASAM Office of the Assistant Secretary for

    Administration and Management

     OAMSS Office of Acquisition and Management Support

    Services, Business Operations Center, Office of

    the Assistant Secretary for Administration and

    Management

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    Chapter 100 - Departmental Directives System

     SOL Office of the Solicitor

    105 Types of Issuances

     A. Issuances covered by the DDS:

    All departmental policy and procedural statements are

    issued within the DDS through either of the following

    means:

     (1) Secretary's Orders.

     (2) Department of Labor Manual Series (DLMS).

     B. Issuances Not Covered. The DDS does not include:

     (1) Material of a limited nature, such as memoranda,

    report requests, special emphasis notices, and

    other material of limited application or interest.

    Originating offices distribute those materials

    through appropriate correspondence channels.

     (2) Instructions implementing changes in regulations

    which require rapid dissemination. For example,

    General Services Administration (GSA) regulations

    issued by memoranda prior to publication in the

    DLMS.

     (3) DOL Supplements to the 5 CFR, issued by HRC.

     (4) Emergency Orders and Mobilization Issuances.

     (5) Temporary Directives. These are the

    responsibility of the issuing agency.

     (6) Topical Handbooks designed to give detailed

    guidance on specific policy issues. These may be

    issued by the agency responsible, as necessary,

    once the appropriate authority and policy have

    been established in the DLMS.

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    Chapter 100 - Departmental Directives System

     C. External Directives. Binding directives received by

    OASAM from the Office of Management and Budget, GSA,

    General Accounting Office, Treasury, and other Federal

    regulatory agencies either directly or through DOL

    Agencies shall result in a review of relevant manuals

    and chapters to ascertain the need for updating. OAMSS,

    in consultation with appropriate DOL program offices

    is responsible for determining the OASAM or other DOL

    office response for acknowledging, disseminating, and

    implementing such external directives.

106 Objectives. The objectives of the DDS are:

     A. Establish and maintain a system for the issuance,

    classification, and modification of departmental

    directives.

     B. Establish and implement standards and procedures for

    the initiation, preparation, review, approval,

    reproduction, and distribution of departmental

    directives.

     C. Establish responsibility for the creation and

    implementation of appropriate standards for the format

    and editorial style of departmental directives.

     D. Review directives periodically for need and currency

    and identify subject voids that should be filled.

     E. Review, on a continuing basis, the directives system

    to identify design and operational improvements.

     F. Maintain a compilation of all directives issued within

    the DDS to document the organization, functions,

    policies, and procedures of the Department.

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    110 AUTHORITY, POLICY, AND RESPONSIBILITIES

    111 Authority.

    A. The head of each Federal agency, in meeting the

    requirements of the Federal Records Act of 1950 as

    amended (controlling the creation of records), is

    expected to develop and implement standards and

    programs for the economical and efficient management

    of records. Government Paperwork Elimination Act

    (GPEA)(44 U.S.C. 3504), Federal Records Act of 1950(44

    U.S.C. 396(b)), and 5 U.S.C. 301.

    B. The Federal Information Resources Management

    Regulations (FIRMR), 210-45.105 required each Federal

    agency to establish an appropriate program for the

    management of agency directives. In addition, Federal

    agencies are required to implement directive material

    and related documents which have departmental

    applicability received from sources outside the

    Department (e.g., Executive Orders, Presidential

    Proclamations, the Office of Management and Budget

    (OMB) Bulletins and Circulars, and memoranda addressed

    to the Secretary or selected Department or Federal

    agency heads). While responsibility for Federal

    Government directives policy has shifted from GSA to

    OMB, effectively eliminating the FIRMR, OMB has not

    yet issued replacement regulations, and the FIRMR

    provides practical guidance pending issuance of

    appropriate OMB regulations.

    112 Policy.

     A. DOL directives are expected to provide essential,

    accurate, and timely information and procedures; to be

    published in a consistent format; and to be

    understandable to every employee who must use them in

    carrying out the operations of the Department.

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     B. External directives will not be rewritten and

    departmental agencies will refrain from rewriting

    departmental directives.

     C. The directives clearance and issuance procedures

    stated in this chapter must be followed.

     D. Only departmental directives cleared through OAMSS

    determined to be of acceptable quality and consistent

    with stylistic requirements will be reviewed by

    departmental agencies.

     E. A Secretary’s Order may be used to cancel or replace a

    prior Secretary’s Order, but must not be used to alter

    any other type of directive. DLMS content may be

    cancelled, amended, replaced, or inserted through

    appropriate issuance by the Assistant Secretary for

    Administration and Management, but must not be used to

    alter any other type of directive. Should a

    discrepancy arise between the DLMS and an active

    Secretary’s Order, the Secretary’s Order, by virtue of

    having been signed by the Secretary or the person

    acting in that capacity on the date of signature,

    shall take precedence, irrespective of the date of

    issuance.

     F. Directive content shall represent departmental policy

    and require appropriate clearance before issuance;

    changes to format, media, other considerations outside

    the scope of the actual content shall be at the

    discretion of BOC and shall not require departmental

    clearance, provided that such changes shall not be

    made without an OASAM determination, documented to the

    file that the revised version is fully consistent with

    all requirements contained in this chapter including

    formatting and style. Similarly, when changes are

    made to directive content for the sole purpose of

    bringing organizational references up to date as the

    result of reorganizations, etc., such changes may be

    made by the originating organization in coordination

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    Chapter 100 - Departmental Directives System

    with BOC and SOL (Legislation and Legal Counsel

    Division) without recourse to departmental clearance.

     G. It is the policy of the Department of Labor to present

    directives electronically, primarily by utilizing

    contemporary, Internet-web technology.

    113 Responsibilities

     A. The Secretary generally issues directives containing

    policies, decisions, delegations of authority, and

    assignments of responsibility, and departmental

    procedures in compliance with Executive Orders, and

    other statutory and legal authority.

     B. The Director, Executive Secretariat, is responsible

    for:

    (1) Reviewing proposed issuances requiring the

    approval and signature of the Secretary.

    (2) Assisting the Director, BOC, upon request, with

    distribution and clearance functions described as

    within the authority of OASAM. This assistance

    shall be conducted in consultation with OASAM and

    SOL.

    (3) Requesting necessary assistance in the clearance

    process from BOC.

    (4) Maintaining hard copies of all directives signed

    by the Secretary of Labor.

     C. The Solicitor is responsible for:

     (1) Reviewing proposed directives to ensure

    consistency with applicable laws, regulations,

    policies, and procedures and for legal

    sufficiency.

    (2) Resolving legal questions concerning directives.

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     (3) Reviewing proposed directives to determine

    whether publication in the Federal Register is

    appropriate.

     D. Assistant Secretaries, the Commissioner of Labor

    Statistics, the Solicitor of Labor, and other

    equivalent-level departmental officials are

    responsible for ensuring that:

     (1) Directives originating in their respective areas

    are consistent with applicable laws, regulations,

    policies, and procedures.

    (2) Proposed directives forwarded for their review

    and comment are cleared by appropriate officials

    (including regional Agency Heads) and returned to

    the designated clearing office in a timely

    fashion that will ensure both accuracy and

    expediency. If meeting the indicated due date is

    impracticable, the information shall be

    communicated to BOC by the indicated due date.

    (3) Draft directives comply with the formatting and

    style requirements of this policy before

    submission to BOC for clearance.

     E. The Assistant Secretary for Administration and

    Management is responsible for:

     (1) Directing the overall departmental information

    management Program of which the Departmental

    Directives System is a part.

    (2) Establishing standards and procedures to ensure

    the proper initiation, preparation, review,

    approval, reproduction, and distribution of

    proposed departmental directives.

    (3) Establishing standards for the format and

    editorial style of departmental directives.

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    (4) Notifying agency administrative officers and

    OASAM regional administrators of the publication

    of revised directives.

     F. Agency Administrative Officers in the National Office

    are responsible for:

     (1) Informing agency personnel how to access current

    departmental directives on DOL intranet and

    issuing notifications of the publications of

    revised directives.

    (2) Ensuring that proposed directives forwarded for

    agency review and comment are cleared in their

    national office and when appropriate, regional

    offices, and returned to the designated clearing

    office by the indicated due date.

     G. OASAM Regional Administrators are responsible for:

     (1) Ensuring that regional personnel of all agencies

    are familiar with intranet access to current

    departmental directives.

     (2) Establishing and maintaining a regional

    directives system consistent with the DDS.

     (3) Ensuring that proposed directives forwarded for

    their review and comment are cleared and returned

    to the designated OASAM official by the indicated

    due date.

    (5) Advising designated regional components when new

    or revised directives are published.

     H. Directors of OASAM Centers are responsible for:

     (1) Informing agency customers how to access relevant

    departmental directives on the intranet and

    issuing notification of the publication of

    relevant revised directives.

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     (2) Ensuring that proposed directives originating in

    their program areas are consistent with

    applicable laws, regulations, policies and

    procedures.

     (3) Ensuring that proposed directives forwarded for

    review and comment are cleared and returned to

    the designated OASAM official by the indicated

    due date. All comments from within OASAM are to

    be forwarded to the designated OASAM official

    rather than to the clearing office.

    I. The Director, BOC, is responsible for:

(1) Administering the DDS.

(2) Ensuring that the DDS meets the requirements

    specified under FIRMR 201-45.105 or the OMB

    regulation that replaces it.

(3) Assisting originators in developing directives

    and moving these directives through the draft to

    final approval process.

(4) Assisting originators in the clearance of

    directives and the reconciliation of clearance

    comments.

(5) Ensuring compliance (prior to initiating

    clearance process) of all proposed directives for:

    (a) Conformity with OASAM’s prescribed format

    and editorial standards.

    (b) Consistency with current departmental

    policies and procedures.

(6) Controlling and assigning sequential numbers to

    departmental directives, as appropriate.

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