431.5, Directives Management

Issuance Number:     431.5

Subject:                         Directives Management       

Expiration Date:        Retain until superseded

Responsible Office:   Office of Administration and Policy; Office of Budget, Finance, and Analysis

Instruction:                This supersedes Survey Manual (SM) 431.5, and the Directives Management Handbook, last issued December 16, 2024

Approving Official:   Anne Barrett

                                      Acting Deputy Director for Administration and Policy

1.    Purpose.  This SM Chapter describes the U.S. Geological Survey (USGS) Directives System and directives management responsibilities.  The USGS Directives System provides the responsibilities, standards, and resources for the preparation, clearance, approval, and communication of policy and procedure having Bureau-wide application or impact.

2.    Scope.  This SM Chapter applies to all USGS offices that have purview over the subject matter in one or more SM Chapters, SM Handbooks, Instructional Memoranda (IMs), and (or) Bureau Operating Procedures (BOPs).

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, available electronically to the public for inspection and copying.  This includes administrative staff manuals and instructions that affect a member of the public.

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.  Department of the Interior (DOI), Departmental Manual (DM), Part 381, Chapter 1, Directives Management (refer to “381 DM 1” in the public-facing DOI ELIPS repository), requires that DOI Bureaus develop and implement Bureau-specific systems for directives management.

4.    References.

A.  Plain Language

B.  U.S. Government Publishing Office Style Manual

C.  General Services Administration – Section 508 Guidance

5.    Policy.  

A.  The USGS issues Bureau-level policies and procedures as defined in this SM Chapter.  

B.  The USGS Directives System complies with all applicable Government-wide and DOI policies and procedures.  USGS directives does not supersede higher-level authorities, such as statutes, regulations, Executive Orders, or Departmental directives. 

C.  SM Chapters and SM Handbooks carry expiration dates of "Retain Until Superseded." Each directive must undergo SM clearance, recertification, or archival at 5 years from the date of last signature, which the Office of Administration and Policy manages though an internal system of record.

D.  IMs carry expiration dates of "Retain Until Superseded." They must be converted to SM Chapters, reissued on the IM template, or archived at 3 years from the date of signature, which the Office of Administration and Policy manages though an internal system of record.

E.  BOPs must undergo SM clearance as specified in a Memorandum for the Record (MFR), prepared by the Responsible Office (RO) in coordination with the Directives Officer and approved by the Executive Leadership Team (ELT) member with responsibility for the subject matter in the BOP.

F.  ROs must resolve comments, dissenting opinions, and fatal flaws at the lowest level possible. ROs can only request signature approval of draft SM Chapters, SM Handbooks, and IMs through the Directives Officer after the SM clearance process is complete and the RO has resolved all comments, dissenting opinions, and fatal flaws.  

G.  The Deputy Director for Administration and Policy (DD-AP) can authorize an exception to the SM clearance process via an MFR.  

H.  Where applicable, the SM will redirect readers to existing language in law, DOI, or SM Chapters, rather than restating the same language

I.  The ELT will receive a maximum of 10 SM review requests each fiscal year unless the DD-AP authorizes additional review requests. Related topics may be submitted to the ELT as a package, counting as one review request.

J.  Unless authorized by the DD-AP, the Office of Budget, Finance and Analysis (BFA) will not accept major SM revisions between September 15th and December 31st. During this timeframe, BFA may still clear minor revisions to the SM.   

K.  ROs must document all revisions, both major and minor, in a final redline document for the directives record.  ROs must also include all significant (not editorial) reviewer comments in a comment matrix for the ELT’s and other reviewers' awareness.

6.    Definitions.

A.  Appendix – A text-based document that supports an SM Chapter or SM Handbook (for example, a list of delegations of authority, an informational table, or detailed procedures).  For visual aids, refer to “Figures” below.

B.  Attachment – A document that supports an IM (either as a text-based document or as a visual aid).

C.  Bureau Operating Procedures (BOPs) – Procedure-based directives for expediting instructions that are non-interpretive of regulation or Government-wide policy and procedure, and that are subject to a custom clearance process that is determined by the Approving Official. 

D.  Data Tracking System (DTS) – An internal correspondence system for requesting surnames on revisions to the SM and for routing final surnamed drafts to the Approving Official. 

E.  Directive – A written, authoritative instruction stating policies and initiatives for governing the specific activities of an organization.  SM directives include SM Chapters, SM Handbooks, and IMs.

F.  Dissenting Opinion – A reviewer’s written disagreement with parts of a draft SM Chapter, SM Handbook, or IM. 

G.  Fatal Flaw – A critical or fundamental issue within a directive that undermines its effectiveness, or that is noncompliant with law, regulation, or higher-level policy.

H.  Figure – A visual aid that supports an SM Chapter or SM Handbook (for example, a diagram, flow chart, or image).

I.  Instructional Memoranda – IMs communicate situationally-specific and (or) short-term Bureau-level policy and general procedure.  IMs expire 3 years from the date of signature, or sooner if they become obsolete.

J.  Internal Review – An RO’s internal review of a draft directive, which includes key stakeholders and subject matter experts who can ensure the information is accurate and complete. 

K.  Major Revisions – Revisions that alter the purpose, scope, requirements, responsibilities, and (or) organizational structure within a directive. 

L.  Minor Revisions – Revisions that are limited to technical and editorial corrections and clarifications. 

M.  Policy – A set of written instructions that govern a specific activity and ensure the specific objectives of the directive are achievable. 

N.  Policy Coordinators – Also called “Policy Leads”, USGS employees assigned by their respective RO on a case-by-case basis to coordinate or lead SM updates under the RO’s purview.  

O.  Procedure – A set of written instructions that guide the implementation of a policy.

P.  Recertification – The action of reissuing an SM Chapter or SM Handbook with only minor revisions at 5 years from the date of last signature.

Q.  Responsible Office (RO) – The USGS office(s) responsible for the development and maintenance of any SM Chapter, SM Handbook, or IM under its purview. 

R.  Signature Approval – The Approving Official’s signature on a final SM Chapter, SM Handbook, or IM.

S.  Surnaming – In DTS, the process of applying an RO’s digital stamp as an agreement that a draft document is ready for routing through the chain of command to the Approving Official. 

T.  Survey Manual Archive – A collection of obsolete SM Chapters, SM Handbooks, and IMs that may be relevant for research purposes only.

U.  Survey Manual Chapters – SM Chapters communicate long-term Bureau-level policies and general procedures that govern USGS structure, operations, and activities. SM Chapters expire 5 years from the date of signature without additional SM clearance.

V.  Survey Manual Clearance Process – A series of steps and procedures for proposing revised language or new subject matter for the SM, socializing these revisions with multiple review groups, and reconciling comments prior to requesting approval. 

W.  Survey Manual Handbooks – SM Handbooks communicate long-term, Bureau-specific procedures that implement the requirements set forth in SM Chapters. SM Handbooks expire 5 years from the date of signature without additional SM clearance.  

7.    Approving Officials.

A.  Executive Leadership Team (ELT) Members. 

(1)  SM Chapters, SM Handbooks, and IMs.  ELT members are delegated the authority to approve SM Chapters, SM Handbooks, and IMs that cover subject matter under their office’s area of responsibility.  ELT members cannot redelegate this authority.  

(2)  Bureau Operating Procedures.  ELT members are delegated the authority to approve BOPs that cover subject matter under their office’s area of responsibility.  The ELT member cannot redelegate their authority to approve new or major revisions to BOPs.  For minor revisions in BOPs, the ELT member may delegate approval authority, via MFR, to the respective office manager (refer to Section 7.C. below).  

B.   Office of Budget, Finance and Analysis (BFA).  The Associate Director for the Office of Budget, Finance and Analysis (AD-BFA) may authorize the Directives Officer to make minor revisions on an “as needed” basis to any posted directive in coordination with the RO.  

C.    Office Managers.  If delegated authority to approve minor revisions to a BOP under their office’s purview, the office manager cannot redelegate this authority.  The office manager must also maintain a list of all minor revisions internally and certify it annually via an MFR. 

8.    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.  

B.  Deputy Director for Administration and Policy (DD-AP) – The Director delegates policy and related program objectives to the DD-AP through SM 120.2, Office of the Director.  The DD-AP is responsible for 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 exceptions to the SM clearance process. 

C.  Associate Director for the Office of Budget, Finance, and Analysis (AD-BFA) – Responsible for establishing and implementing USGS Directives System requirements and addressing or elevating unresolved dissenting options that result from the clearance process to the DD-AP, as needed.

D.  SM Clearance Process Reviewers – Responsible for responding to SM review requests as specified by SM review request memoranda/emails.  

E.  Responsible Offices (RO) – Responsible for the following: 

(1)  Conducting an internal review of SM Chapters, SM Handbooks, and IMs under their office’s purview to ensure the accuracy and completeness of their legal authorities, policies, and procedures, revising them when necessary, and coordinating related updates with the Directives Officer within specified time frames.

(2)  Ensuring proper coordination of new or major revisions to BOPs with their ELT member and tracking minor revisions for an annual MFR in DTS.  

(3)  Ensuring drafts are Section 508 compliant prior to the SM clearance process. 

(4)  Coordinating drafts with affected organizations and key stakeholders, and ensuring their input is included.  If science groups are affected, ROs must also coordinate with applicable Regions, Centers, and the Fundamental Science Practices Advisory Council (FSPAC).  If a draft directive pertains to personnel, working conditions, safety, facilities, or food service activities, the RO must consult the USGS Office of Human Capital.   

(5)  Resolving comments, dissenting opinions, and fatal flaws at the lowest level possible.

(6)  Appointing at least one Policy Coordinator for each SM directives under their office’s purview.

F.  Directives Officer – The Directives Officer, as authorized by AD-BFA, is responsible for the following: 

(1)  Managing SM 431.5, Directives Management, in accordance with the law and DOI policy on directives management.

(2)  Implementing the standards for the DSSP.

(3)  Ensuring comment matrix history showing how comments are addressed and resolved during the SM clearance process is available to the ELT and SM clearance process reviewers.

(4)  Ensuring the SM is available in an electronic, Section 508-compliant format, and communicating updates to the Bureau in a timely manner. 

(5)  Managing the SM numbering system and related DTS entries.

(6)  Providing Policy Coordinators with guidance and training on USGS Directives System activities.

(7)  Managing the SM site(s), both public-facing and internal.

(8)  Coordinating draft directives with ROs and DOI, as needed. 

G.  Policy Coordinators – Responsible for the following: 

(1)  Communicating with the Directives Officer on any updates to SM directives under their office’s purview.

(2)  Updating the Policy Coordinator(s) contact list, as needed.

(3)  Responding to status requests that originate from the Directives Officer (for example, status reports for expiring SM directives).

(4)  Drafting and sharing SM directives in accordance with this SM Chapter, the Directives Management Handbook, and the DSSP.

(5)  Ensuring management officials in their chain of command are made aware, in writing, of concerns and issues related to directives under their office’s purview during the SM clearance process.

9.    Review Timeframes and General Procedure.  The Directives Management Handbook contains detailed timeframes and procedures related to SM directives.