Director's Order graphic

 

February 27, 1998

Memorandum

To: WASO and Field Directorate

From: Director /s/ Robert Stanton (signed original on file)

Subject: Directives System--New Instructions

I have now worked for several months with the NPS Directives System, as established by Director’s Order #1, and have reviewed and approved several Director’s Orders. I fully support this effort to "clean up" and reinvigorate all internal guidance documents. I firmly believe that Servicewide policy is the foundation of our decision making, and we must make certain that our policies and procedures are comprehensive, valid and up to date. Conversion to the new directives system presents us with a timely and critical opportunity to give fresh thought to what we in the Service do, and the way we do it every day on the job.

I must stress that policy formulation and program leadership are among the primary responsibilities of the Washington office. Therefore, Associate Directors and program managers must give priority attention to those policy and program guidance documents that are within their purview. Because I know that a project of this magnitude requires a lot of time and coordination, and everyone is stretched to the limit, I am extending the deadline for completing Level 2 Director’s Orders and related Level 3 handbooks and reference manuals to December 31, 1999. Please plan your workload and related costs of the project accordingly.

While December 31, 1999, is the ultimate completion date for Level 2 and Level 3 documents, please submit to the Office of Policy, by no later than June 30, 1998, any revisions proposed for Level 1--NPS Management Policies. This is necessary because I am determined to have an updated version of Management Policies ready for publication by the end of the year.

It has long been our intention to address management of NPS "programs" in a Part Two of NPS Management Policies. These programs, which generally operate outside the boundaries of national park areas, are a vital part of the NPS mission, and we need to elevate awareness of them both within and outside the NPS. I therefore ask that managers of programs to be addressed in Part Two submit to the Office of Policy, by no later than September 30, 1998, draft text describing the programs under their purview, and the policies which govern them.

To ensure that more timely progress is made on the new directives system, I am directing the Chief, Office of Policy, to develop with Associate Directors before May 1 a schedule and work plan for completing each of the guidance documents. The schedule will include a priority list for each program area’s Director’s Orders, accompanied by a timetable with benchmarks. I then will review the schedule with the Office of Policy and each Associate Director at least on a quarterly basis.

The changes that I have made with regard to deadlines are incorporated into the attached update of Director’s Order #1. I have also approved some additional fine-tuning based on responses the Office of Policy has received from others who are working to implement the new directives system. To summarize the key changes:

1. Program managers will decide the priority order for completing, before December 31, 1999, the Director’s Orders and Level 3 documents under their purview.

2. The role of Director’s Orders will be expanded to make them a more useful summary of the most important information that busy managers need to know, rather than just a bare-bones listing of the Director’s discretionary instructions. This expanded role is now possible because the Departmental requirement to reduce the "page count" of our internal guidance documents is no longer of paramount importance in the new directives system

3. On a case-by-case basis, we will confer with the Solicitor’s Office as to the need to make drafts of Director’s Orders and Level 3 handbooks and manuals available for public review and comment. In general, those documents that will affect parties outside the Service will be made available through the Federal Register, in compliance with the Administrative Procedure Act. Public access for review and comment purposes will also be provided through the Service’s World Wide Web site. All Level 1,2 and 3 documents will be placed on the World Wide Web when necessary to comply with the Freedom of Information Act.

4. Level 3 handbooks and manuals incorporate management policies and the content of Director’s Orders in a comprehensive context. Their comprehensiveness will make handbooks and manuals (in some cases) a more useful vehicle than Director’s Orders for obtaining review and comment on new policies and procedures. When a Level 3 document is used for review purposes, the text for the companion Director’s Order will then be extracted after the handbook or manual has been drafted and reviewed. (This procedure will not always be advantageous, as in cases where a Director’s Order can stand alone as a complete guidance document and there simply will not be a corresponding Level 3 handbook or manual.) When we also use the Level 3 document as the vehicle for obtaining public review and comment, it will not be necessary to publish separately the Director’s Order for public review and comment.

We have a big job ahead of us, but it serves an important purpose. I will greatly appreciate everyone’s helpful cooperation in this effort. If you have any questions or are in need of additional information, please contact Mr. Loran Fraser, Chief, Office of Policy (202/208-7456).

Attachment

[NOTE: The Director added a hand-written note to the end of the memorandum:

Ladies and Gentlemen - The Directives System is very important to the Service and me. I appreciate your support and cooperation! (signed) Bob Stanton]

DIRECTOR'S ORDER #1: NATIONAL PARK SERVICE DIRECTIVES SYSTEM

Approved: /s/ Robert Stanton (signed original on file)
Director, National Park Service

Revision Date: March 29, 2000

Sunset Date: March 29, 2004

This supersedes and replaces the February 17, 1998, release of Director's Order #1.

Contents:

  1. What is the Purpose of This Director's Order?
  2. What is the Directives System?
  3. Under What Authority is This Director's Order Issued?
  4. What Standards Apply to the Directives System?
  5. How is the Directives System Structured?
  6. Who is Responsible for Implementing the Directives System?
  7. How Are Guidance Documents Prepared and Issued?
  8. How Will We Transition to the New Directives System?

I. What is the Purpose of This Director's Order?

The purpose of this Director's Order is to further refine the National Park Service Directives System, first established by Director's Order #1 on September 1, 1996.

II. What is the Directives System?

The Directives System is a 3-level set of documents that give NPS managers and staff comprehensive guidance on Service-wide policy and required and/or recommended practices and procedures. The Directives System is the means by which the Director delegates line and functional authorities and assigns responsibilities. It reflects our organizational values of teamwork, delegation to the most effective level, empowerment of employees, accountability, and reduction in overall paperwork.

III. Under What Authority is This Director's Order Issued

Authority to issue this Director's Order is found in 16 USC 1-4 (National Park Service Organic Act), and delegations of authority found in Part 245 of the Department of the Interior Manual.

IV. What Standards Apply to the Directives System?

To meet minimum standards for approval, all Directives System guidance documents will:

  • Be written in plain English, be logically organized, and in other ways apply the principles of plain language.
  • Help the reader understand why the subject matter is important to the Service, and how the policies, procedures, and other requirements will help achieve the desired results.
  • Be coordinated among all offices and program areas that might have an interest in, or be affected by, the subject matter.
  • Avoid imposing unnecessary or burdensome responsibilities on field managers and staff.

V. How is the Directives System Structured?

5.1 Overall Structure

There are three levels of guidance documents in the directives system:

  • Level 1, Management Policies, and Level 2, "Director's Orders," are specific to the NPS and are issued under the Director's signature.
  • Level 3 consists of all other professional material (e.g., handbooks, reference manuals) to assist employees in performing their duties. These materials often include procedural details recommended for carrying out the requirements of Management Policies and Director's Orders, and are named and numbered to correspond with the appropriate Director's Orders.

All Service-wide policy will be developed in consultation with the Office of Policy (Policy) and the National Leadership Council (NLC), and approved in writing by the Director. Adherence to policy is mandatory unless waived, in writing, by the Secretary, the Assistant Secretary or the Director.

5.2 Level 1 (Management Policies)

5.2.1 The NPS publication Management Policies sets the framework and provides policy direction for making management decisions in administration of the national park system and National Park Service programs. Policy may be general or specific; it may prescribe the process by which decisions are made, how an action is to be accomplished, or the results to be achieved.

5.2.2 Interim changes to management policy may be made through Director's Orders until the Management Policies publication is revised.

5.2.3 Management Policies will be revised at appropriate intervals to consolidate new or updated Service-wide policy decisions. NPS field and central office managers, and the general public, will be given appropriate opportunity for review and comment on proposed policies.

5.3 Level 2 (Director's Orders)

5.3.1 Function. Director's Orders may prescribe supplemental operating policies, specific instructions, requirements, or standards applicable to the functions, programs and activities of the NPS. They may also delegate authority and assign responsibility. When needed, Director's Orders may also serve as a vehicle to update specific sections of Management Policies.

5.3.2 Contents. Director's Orders will articulate primarily those policies, instructions and requirements that are imposed under the Director's discretionary authority. They may also restate policies or specific requirements that have been established by law, the President, the Secretary of the Interior, or any other entity that is duly authorized to impose policies or requirements on the NPS. When structured this way, Director's Orders take on the role of an "executive summary" of policies and requirements imposed collectively by the Director and higher authorities.

5.3.3 Review. Appropriate opportunity for review and comment on proposed Director's Orders will be provided to NPS field and central office managers. Director's Orders that would affect, or be of significant interest to, the general public or "stakeholders," or that would likely be controversial, must be made available for public review and comment before they are sent to the Director for approval.

5.3.4 Sunset. Director's Orders will have a sunset provision of 4 years or less to ensure review and revision at regular intervals. They may be amended or updated by the Director when necessary, or terminated when they are no longer necessary. Amendments, updates, and terminations will be processed through Policy, and will be referred to the NLC when appropriate.

5.3.5 Format. Director's Orders generally should avoid detailed information or procedures, or other elements that would be more appropriately issued in a Level 3 document as a delegated functional responsibility of an associate director.

Director's Orders will follow a format established by Policy, and will usually contain at a minimum:

  • Effective date and sunset date.
  • A statement of the purpose and/or objectives of the Director's Order. This section may, as appropriate, briefly discuss relationships to Management Policies, the NPS Strategic Plan or other major management documents, and inform readers why the subject matter is important to the Service.
  • A list of previously issued guidance documents that will be superseded.
  • Legal authority for issuing the Director's Order, and other legal authorities that are applicable to the subject matter.
  • Policies/instructions/requirements.
  • Responsibilities at each level of accountability.

5.4 Level 3 (Reference Manuals, Handbooks, and Other Helpful Materials)

5.4.1 Function. Level 3 materials are the primary vehicle for communicating helpful, comprehensive information to support field and program operations. Program managers have a duty to provide, through reference manuals and handbooks, a convenient source of information where field and program staff may access (or learn where to find) virtually everything they need to know to successfully perform field operations or implement a program. Level 3 materials are updated as necessary and may have a sunset provision.

5.4.2 Authorities and Delegations. Level 3 materials may be issued and revised by associate directors, regional directors, or program managers. Level 3 materials may include mandatory procedures or standards issued:

  • By law, the President, the Secretary of the Interior, the Director, or any other entity that is duly authorized to impose policies, procedures or requirements on the NPS, and that are restated as a helpful reference for the reader.
  • By a regional director, applicable exclusively to his/her region, and not in conflict with Service-wide policies, procedures or standards.
  • By an associate director, applicable exclusively to his/her staff, and not in conflict with Service-wide policies, procedures or standards.
  • By an associate director, applicable Service-wide, and in response to a specific functional delegation by the Director. The source of the specific functional delegation must be clearly indicated.

5.4.3 Contents. Level 3 materials provide general information, procedures, examples , or recommendations to assist managers in carrying out the policies and requirements of Management Policies or Director's Orders. There are no limitations or restrictions as to what may be distributed as Level 3 materials. Level 3 may include, for example, all varieties of print media, videos, software, compact disks, and World Wide Web pages. Level 3 reference manuals or handbooks must be comprehensive and as user-friendly as possible. To be comprehensive, they may need to reiterate the provisions of Management Policies and Director's Orders.

Manuals or handbooks should be thoroughly indexed and include:

  • A summary of relevant legislative, regulatory, policy and procedural requirements;
  • A glossary of relevant terms or definitions;
  • Helpful suggestions on how to perform operations efficiently and effectively;
  • Examples of success that might be emulated; and
  • A list of sources for further information.

5.4.4 Relationship to Director's Orders. Because Level 3 handbooks and reference manuals provide a more comprehensive context for review purposes than do Director's Orders, they may be drafted before the Director's Order, with essential material for the companion Director's Order being extracted concurrently or afterward. However, no Level 3 document containing new policies or required standards or procedures will be issued in final form until after the policies and other required elements have first been validated in a signed Director's Order.

5.4.5 Review. Appropriate opportunity for review and comment on proposed reference manuals and handbooks will be provided to field and central office managers. In some cases, particularly when Level 3 materials will have an effect on third parties outside the NPS, the general public must also be provided the opportunity for review and comment, in compliance with the Administrative Procedure Act.

VI. Who Is Responsible for Implementing the Directives System?

The Policy Office, the Associate Director for Administration, and the originating office will be responsible for providing and maintaining an effective and flexible directives system. All NPS managers are responsible for adhering to policies and other requirements issued through Management Policies and Director's Orders, as well as requirements or standards issued by associate directors within their functional authority (as specifically delegated by the Director). Management decisions must be based on established NPS policy, and significant decisions should be thoroughly documented in an administrative record of decision.

6.1 WASO Office of Policy

The Chief, Office of Policy, will have lead responsibility to:

  • Ensure the quality, consistency and overall coordination of documents prepared under the directives system;
  • Determine the appropriate level of guidance to meet our management needs;
  • Develop a schedule for converting to the new system in a timely manner; and
  • Enforce standards for quality control.

6.2 Originating Office

The originating office is responsible for developing and updating Director's Orders and reference manuals (Level 3), in coordination with Policy.

6.3 Associate Director for Administration

The Associate Director for Administration will be responsible for

  • ensuring compliance with the Freedom of Information Act, and access by the public, by posting Management Policies and Director's Orders on the World Wide Web;
  • archiving all NPS Management Policies and Director's Orders; and
  • posting Level 3 materials on the Web and archiving them, when requested.

VII. How Are Guidance Documents Prepared and Issued?

7.1 Management Policies. Management Policies is the only Level 1 document, and it is published infrequently (every 10-12 years). Policy will coordinate any updates to the Management Policies. Interim updates, proposed additions, or changes to policy will be published initially in Director's Orders. At the appropriate time, management policy statements contained in Director's Orders will be transferred to the latest edition of Management Policies.

7.2 Director's Orders. Policy will assist the originating office at any step in the development process. Director's Orders (Level 2) are generally developed based on the following process:

  1. Getting started. The originating office will contact Policy for initial consultation and advice on how to proceed. Subsequent consultations will take place as necessary to identify old policy to be replaced and issues to be addressed.
  2. Identify and involve interested parties. The originating office will invite knowledgeable field and program staff to participate in the development of the Director's Order. As appropriate, the originating office should also confer with internal workgroups, other government agencies, and individuals or organizations outside government, who may have a particular interest in the issues that are being addressed.
  3. Using Level 3 as a starting point. If there will be a comprehensive Level 3 handbook or reference manual, it may be advantageous to begin the process by first preparing the handbook or reference manual and addressing within it any necessary policies or procedures. The Level 3 document will then provide a more comprehensive context for addressing any necessary policies or required procedures.
  4. Informal review stage. The originating office may arrange for "informal" field review of draft Director's Orders, but this will not take the place of the formal review process. If a draft is distributed for informal review, the originating office must clearly state in a cover memo that the review is informal, and the formal review process will take place at a later date. Once a draft Director's Order has been developed and approved by the appropriate manager, it will be forwarded to Policy.
  5. Clearance for formal review. Policy will review the draft version; work with the originating office on any necessary revisions; verify that necessary surnames have been obtained and, if necessary, coordinate a review by SOL.
  6. Start 60-day review. When Policy and the originating office agree that the draft is ready for circulation, Policy will forward the document(s) to regional and associate directors for 60-day review. The document will also be posted on the NPS web site. The regional and associate directors will determine the most efficient means for obtaining comment from the staff under their supervision.
  7. Concurrent public review. Policy will send an electronic copy to the Administrative Program Center for posting on the NPS web page. When necessary, the originating office will arrange for a "notice of availability for review and comment" to be published in the Federal Register. Posting on the web site and in the Federal Register should be for the draft to be concurrent with the 60-day review. (The Federal Register requirement applies only to Director's Orders that have been identified by SOL as requiring publication to comply with the Administrative Procedure Act.)
  8. Start 14-day review. Following the 60-day review, the originating office will make any necessary changes and keep a record of comments received. Policy will forward a final draft to the NLC for a 14-day review. (If no substantive changes are necessary, there will be no need for a 14-day review.)
  9. Director's approval. Policy will send the final document to the Director for consideration and signature, following any necessary clearance by SOL.
  10. Distribution and notification. After approval by the Director, Policy will send Director's Orders to the NLC for Service-wide distribution, and will ensure the orders are properly archived. Hard-copy distribution, if desired, will be the responsibility of the originating office. If a Federal Register notice of availability was published, the originating office will publish a notice that the Director's Order has been signed, and explain how the NPS has taken review comments into consideration.
  11. Corrections. The Chief, Office of Policy, may make minor corrections to, or clarifications in, a Director's Order if the need arises after approval.

7.3 Reference Manuals and Handbooks. The following process applies to Level 3 documents.

  1. Compilation of materials. The originating office will compile materials it deems appropriate for distribution. If the policies or required procedures in the document consist only of those that have already been issued by the Director or some other higher authority, the document may be issued by an associate director or program manager without further review.
  2. Starting a Director's Order with Level 3. In some cases it will be more advantageous to use a Level 3 handbook or reference manual as the vehicle for obtaining Service-wide review of proposed new policies and requirements. In those cases, the incorporated policies and procedures provide a more comprehensive context for review purposes. A Level 3 document of this sort is distributed for review and comment in the same manner as a Director's Order. When the review process is completed, a Director's Order containing the required policies and procedures is summarized from the document and sent to the Director for signature. Following the Director's signature on the Director's Order, the Level 3 document may then be issued by the originating office.
  3. When approval is required for Level 3. If Level 3 materials will impose mandatory procedures or standards on park or regional managers; are issued by an associate director pursuant to a functional delegation by the Director; and the review procedure in 7.3(b) has not been followed, a summary of those procedures and standards will first be submitted to Policy. That office will then distribute the summary for a 60-day review by regional and associate directors. The regional and associate directors have the responsibility to obtain appropriate review and comment from other NPS staff under their supervision.
  4. Federal Register requirement. Concurrent with step (c), the originating WASO office will confer with Policy on the possible need to publish a notice of availability in the Federal Register.
  5. Distribution. Associate directors, regional directors, and program managers are responsible for distributing Level 3 materials adopted for Service-wide use.

7.4 Adjustments or Waivers. When there are extenuating circumstances, or when the substance of a Director's Order is of only minor consequence, the Chief, Office of Policy, following appropriate consultation, may adjust the timetables or waive one or more of the steps outlined in 7.2 and 7.3.

VIII. How Will We Transition To The New Directives System?

The three-tiered directives system abolishes numbered guidelines (i.e., NPS-1 through NPS-88), staff directives (on blue-colored paper), and special directives (on salmon-colored paper). Management Policies remain as they had been under the old system, with no changes required as a result of conversion. To accomplish the transition to the new system:

8.1 All guidelines, staff directives, and special directives will be reviewed to determine if they are still necessary and appropriate, or if they can be superseded. Policy will provide assistance in reviewing and determining the appropriate level for conversion. In many cases, existing guidance may need to be organized into a concise Level 2 Director's Order with an accompanying Level 3 reference manual.

8.2 All existing guidelines, staff directives, and special directives must either be rescinded or converted to the new system by December 31, 2000. Exceptions to this date must be approved by the Director.

8.3 No new guidelines, staff directives or special directives will be issued. However, revisions or amendments to existing guidelines, staff directives, or special directives may be issued if:

  • There is a time-sensitive, critical need, and
  • The originating office has submitted to Policy a plan to convert the existing material to the new directives system by a stated deadline (before December 31, 2000), and
  • The extension has been approved by either the Director or Deputy Director.

8.4 Existing policies, procedures, or requirements that we have established under programs such as the Land and Water Conservation Fund, the National Register of Historic Places, and the National Natural Landmarks Program are not required to be converted to the new directives system. However, any new policies, procedures, or requirements must conform to the new system, and managers of those programs must submit to Policy descriptive materials for inclusion in Part Two of Management Policies, titled "Management of National Park Service Programs."

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