Number:

DAO 200-7

SECTION 1. PURPOSE.

This Order prescribes the system to be used for the initiation, preparation, clearance, issuance, and control of Department Organization Orders (DOOs ). DOOs are one of the series of directives comprising the primary directives system of the Department, as prescribed in DAO 200-1.

SECTION 2. SCOPE.

.01 As defined in DAO 200-1, DOOs shall be used to:

a. Establish, consolidate, abolish, -- or otherwise change in status or configuration -- offices comprising the Office of the Secretary (Departmental offices) and the primary and constituent operating units of the Department:

b. Establish the positions of Secretarial Officers, heads of Departmental offices, or heads of operating units, which are not otherwise established (i.e., by law): Secretarial Officers, heads of Departmental offices, and heads of operating units: and

c. Delegate authority and assign duties and responsibilities to Secretarial Officers, heads of operating units, which are not otherwise established (i.e., by law);

d. Prescribe the basic organizational structure and assignment of functions and authorities within the offices of Secretarial Officers, Departmental offices, and operating units.

.02 The initiation, processing, and control of DOOs shall be as prescribed in this Order, and in DAO 200-1 Primary Directives System.

SECTION 3. INITIATING AND PROCESSING ORGANIZATIONAL CHANGES.

.01 General. a. The DOO is the official medium for effecting organizational changes. The term "organizational changes" as used in this Order may, in accord with the dictates of each individual case, include one or more of the actions in paragraph 2.01, of this Order. The requirements of this section will apply to any single action, or combination.

b. In accordance with DOO 20-7, the Office of Privacy and Open Government (OPOG) is responsible for managing the Department's directives system. In this capacity, OPOG is the focal point for instituting organizational changes, by providing analysis, consultation, and procedural assistance to heads of organization units. OPOG is also responsible for the typing, clearance, signing, obtaining printing and distribution for, and control of all DOOs. (The term "organization unit" as used in this Order includes all organizational entities of the Department, including the Office of Inspector General.)

.02 Initiating Organizational Changes. The following procedures shall be followed for all organizational changes requiring the issuance of a new, amended, or revised DOO:

a. The head of the initiating organization unit, or a designee, shall submit a Notification of Proposed Reorganization and Reprogramming ( the "proposal") to the Assistant Secretary for Administration. A proposal is required for all organizational changes affecting an organization unit at, or equivalent to, the division level (see subparagraph 3.02a.5., which follows.) The proposal must provide information of sufficient scope and detail to describe completely and justify the proposed organizational change in terms of its operational benefits and resource effects; have legal clearance; and include at least the following basic information:

1. Nature of the Organizational Change. A comprehensive description of all aspects of the proposed change. This information must cover fully the events and conditions which establish the need for the organizational change, and present a clear picture of the associated physical and functional requirements. (In the case of complex or extensive changes, a "From/To" diagram is helpful in illustrating and comparing the former structure versus the proposed new one.)

2. Justification. The proposal must discuss each element of the organizational change from the standpoint of what will be achieved in increased operational effectiveness in relation to the associated resource requirements, as covered further below.

3. Impact on Budgetary and Staffing Requirements. (a) The proposal shall cover in detail all changes in resource requirements including, as appropriate, complete information on budgetary requirements for the current and next fiscal year, a statement of reprogramming actions, and a complete description of immediate and future personnel requirements (positions and grades) resulting from the proposed reorganization. If there is no impact on personnel resources, or no need for reprogramming action, the proposal shall state that no such requirements exist, and provide substantiating information.

(b) If the proposal falls within the criteria prescribed in paragraph 3.05 of this Order, it will also include draft letters addressed to the Chairmen of the Senate and House Appropriations Committees. (The letters will be used by the Departmental Office of Budget (OBUD) to facilitate the review processes described in paragraph 3.06, of this Order.) Since the letters to the Appropriations Committees will vary in scope and detail, it is recommended that the initiating organization unit coordinate their preparation with the OBUD during the early formulation stages of the proposal.

4. OMB Circular A-105 Consideration. If the proposed organizational change involves activities located in the field, the proposal shall either include a statement confirming compliance with OMB Circular A-105 on Standard Federal Regions, or it shall provide the information required by the Circular's Attachment 3. In the latter case, OPOG will take action to obtain OMB's approval of the proposed deviation.

5. Proposed Wording for the New, Amended, or Revised DOO. (a) As a separate attachment, the proposal will include a draft of the wording for the DOO covering the organizational change. The draft DOO wording should generally follow the DOO writing style and format (primary sources of guidance are DAO 200-3, and the GPO Style Manual of January, 1973), and be submitted on bond paper, (the Commerce DOO form is not necessary).

(b) To be an effective management tool, the DOO must provide information of sufficient scope and depth to meet the uses set forth in paragraph 2.01 of this Order, therefore:

(1) The proposed DOO wording for organizational changes affecting Departmental offices will always include information (official, units, and functions) to the division level or equivalent unit.

(2) The depth of proposed DOO wording for organizational changes affecting operating units will vary due to differences in their individual organization and structure, however, the following basic requirements apply:

(i) Proposed DOO wording will always provide information to the third organizational level: the first level will include the head of the operating unit and associated staff units; the second level will include major organizational components, or a combination of major components and principal officials, reporting to the head of the operating unit; and the third level will include the line offices, or equivalent units, comprising the major organizational components at the second level.

(ii) If, within the structure of a particular operating unit, the third organizational level, described above as "offices, or equivalent units," occurs at a lower identifiable level, (essentially a fourth organizational level), then that level will be covered.

(iii) For operating units having smaller and less complex organizational structures, including the constituent operating units, proposed DOO wording will cover the division level, or equivalent unit.

(c) There will be a limit of five (5) amendments to any basic DOO. When that limit is reached, the wording for the next change, provided above, will be in the form of a revised DOO, which will include: all outstanding amendments; the currently desired change(s); and any other general changes to bring the DOO up-to-date completely. (Complete retyping is not necessary. A clean, legible, cut-and-paste revision is acceptable.)

6. New or Revised Organization Charts, Appendices, or Exhibits. (a) If required by a specific DOO issuance, organization charts, appendices, or exhibits requiring formal graphics (art work) preparation will be provided in draft form as an attachment to the proposed DOO wording. Each initiating organization unit will ensure that draft organization charts conform to the organizational structure covered in the proposed DOO wording, above.

(b) OPOG is responsible for obtaining the final graphics for these items from the Departmental Office of Information Services (OIS).

b. OPOG, OBUD, the Departmental Office of Personnel (OPERS), and the Office of the Assistant General Counsel for Administration (AGC/A), for the Office of the General Counsel, will, as requested, provide consultation and procedural assistance to the heads of organization units in the preparation of the proposal. (For large, complex reorganizations , it is recommended that this assistance be considered during the early formulation phase of the proposal.)

.03 Review of Proposed Organizational Changes and DOO Preparation. The following procedures and requirements shall apply to the review and approval of proposals by the Assistant Secretary for Administration, and the preparation of the necessary DOO:

a. OPOG will review all proposals for the Assistant Secretary to determine their completeness, accuracy, and overall acceptability. In conducting these reviews, OPOG will, as appropriate, consult and work with the initiating organization unit, OBUD, OPERS, AGC/A, and the Office of Inspector General (OIG).

b. If, as a result of the review, there are questions or changes in the proposed DOO, OPOG will coordinate their resolution with the head of the initiating organization unit or a designee. If items cannot be resolved in this manner, the they will be referred for resolution to the Assistant Secretary for Administration and the appropriate Secretarial Officer.

c. After the proposal has been reviewed, and any questions or other matters are resolved, OPOG will type the DOO in its final form for clearance and issuance purposes. In addition, OPOG will prepare the necessary Clearance Sheet (Form SEC-20) or Abstract of Secretarial Correspondence (Form CD-183); and circulate the DOO) for clearance.

.04 Departmental Clearance of the DOO. The internal clearance of a new, amended, or revised DOO shall be accomplished as follows :

a. Before commencing Departmental clearance, OPOG will forward the DOO and the Clearance Sheet or Abstract of Secretarial Correspondence ( the "Abstract") to the head of the initiating organization unit, who shall:

1. Review all documentation for completeness and accuracy;

2. Indicate approval of the DOO by initialing and dating the Clearance Sheet or Abstract (in the designated block at the lower portion of the form);

3. Sign the last page of the DOO, (if a signature is required for the specific type of DOO issuance); and

4. Return all documentation to OPOG.

b. After approval by the head of the initiating organization unit, OPOG will circulate the DOO for Departmental clearance. (To expedite Departmental clearance, OPOG may use drafts of any organization charts, exhibits, or appendices requiring graphics work (see subparagraph 3.02a.6., of this Order)). At the minimum, all DOOs shall be cleared by OBUD, OPERS, OIG, and AGC/A. Other clearances, as OPOG or the head of the initiating organization unit may deem necessary, shall also be obtained. In addition:

1. To the extent practicable, OPOG will obtain clearances concurrently to expedite the clearance process. However, the AGC/A will always clear individually, and will be the last office to do so.

2. All organization units receiving a DOO for clearance will be allowed a maximum of ten (10) working days to respond to the Director, OPOG with (a) their clearance, (b) non-clearance with a complete written explanation, or ( c ) request for an extension with appropriate explanation (a telephone call is acceptable). OPOG will notify each affected organization unit when the ten working day deadline has expired, and provide any assistance necessary to facilitate the clearance. In addition to the DOOs processed under the normal ten working day limitation, there will be certain DOOs circulated for clearance which are critically important to the Department, and must be cleared and issued expeditiously. In these cases, OPOG will attach an "Immediate Attention" sticker to the clearance copy of the DOO, and a brief note explaining the need for expedited clearance, with clearance requested by a specific date. Maximum priority shall be given to such requests by all clearing organization units.

3. If, in subparagraph 2. (a) above, clearance is given subject to the resolution of certain comments or suggestions, OPOG will ensure that action is taken on them prior to submission of the DOO to the AGC/A for clearance.

4. As requested, the head of the initiating organization unit shall provide any information or staff assistance necessary to answer questions or resolve problems arising during the Department level clearance process. OPOG will coordinate and monitor the resolution of such matters to ensure that clearance delays are minimized.

5. Non-clearance of a particular DOO by an organization unit shall not constitute an automatic veto of the DOO, or the organizational change that it effects. When a clearing organization unit returns a DOO with a non-clearance, OPOG will, in cooperation with the head of the initiating organization unit, try to resolve the concerns of the non-clearing unit and obtain clearance. If no resolution is possible, the written views of all concerned will be submitted to the approving (signing) official for final determination at the conclusion of the clearance process. (In accord with DAO 200-1, the approving official for "A" Orders is the Secretary, and the Assistant Secretary for Administration for "B" Orders. Also see paragraph 3.02 of DAO 200-1 for explanation of "A" and "B" Orders.)

.05 Requirements for External Reviews of Proposed Organization Changes. Significant organizational changes must be submitted to OMB for review prior to implementation.

In addition, the Senate and House Appropriations Committees require that the Department notify the Subcommittee Chairmen, in writing, a minimum of fifteen days prior to:

1. Reprogramming of funds in excess of $250,000 or 10 percent, whichever is less, between programs or activities. The Committees also desire to be notified of reprogramming actions which are less than these amounts if such actions would have the effect of committing the Department to significant funding requirements in future years;

2. Increasing funds or personnel for any project or activity for which funds have been denied or restricted;

3. Creation of new programs or substantial augmentation of existing programs;

4. Significant relocation of offices or employees; and

5. Significant reorganization of offices, programs, or activities.

6. Procedures for Handling External Reviews of Proposed Organization Changes.

a. The OBUD shall be responsible for determining which organizational changes will be submitted to OMB and to the Appropriations Committees for review.

b. OBUD, with assistance from OPOG, will prepare the necessary memoranda, letters, reprogramming statements, and other materials necessary to submit the proposed organizational change to OMB and the Committees. These materials will be prepared concurrent with Department clearance of the DOO, but will not be submitted until OPOG advises OBUD that no further significant changes are expected in the proposal.

c. If the DOO effecting a particular organizational change has completed Department clearance before the OMB review process and the 15-day Congressional notice period have been completed, it will be withheld from signature until completion.

.07 Signing of the DOO. a. After the requirements of paragraph .06, above, have been fulfilled, OPOG will submit the DOO to the Assistant Secretary for Administration who shall, depending on the type of DOO, either sign the DOO and return it to OPOG for final processing (Section 4., of this Order), or approve it for submission to the Secretary for signature. Those DOOs to be signed by the Secretary will be sent to the Office of the Secretary, Executive Secretariat for processing and forwarding to the Secretary for signature.
b. The Executive Secretariat will return the DOO and all accompanying materials to OPOG after signature by the Secretary.

SECTION 4. PRINTING, DISTRIBUTION, AND PUBLICATION IN THE FEDERAL REGISTER.

.01 Printing of DOOs. When the DOO has been signed and returned, OPOG will prepare. a Form CD-10 Publications Services and forward the DOO, including any graphics materials, to OIS for printing and distribution.

.02 Distribution of DOOs. Regular distribution of DOOs will be accomplished as follows:

a. Departmentwide distribution of DOOs will be accomplished by means of general and special distribution lists maintained by OPOG and held by OIS. These lists specify the groups of addressees and the number of copies they will receive of all DOOs as they are issued. OPOG will notify OIS as to which distribution list or lists will be used for distributing particular DOOs. Certain addressees on these lists are responsible, upon receipt of DOOs for redistributing them within their respective organization units.

b. All addressees are responsible for notifying OPOG of any change in mailing address and/or the number of copies required.

.03 Obtaining Extra Copies of DOOs. The office responsible for distributing DOO issuances within an organization unit may obtain up to five copies (in addition to normal distribution) of anyone issuance from the Internal Distribution Branch, OIS, Room l6l7A, Herbert C. Hoover building. If larger quantities are required, the distributing office within the organization unit is responsible for their reproduction -- either by Xerox or printing OIS depending on the quantity required. (Xerox usually is the least expensive up to 100 copies.)

.04 Publication of DOOs in the Federal Register. OPOG shall arrange for the publication in the Federal Register of "A" Orders as they are issued (see subparagraph 3.04b. 5., of this Order), and provide notification of the issuance of "B" Orders.

SECTION 5. SYSTEM STRUCTURE AND MAINTENANCE OF THE DEPARTMENT ORGANIZATION ORDER SERIES.

.01 The structure of the DOO Series of directives commences with DOO 1-1, which prescribes the mission and organization of the Department. From this "top directive", more specific DOOs emanate, which delegate the Secretary's authority to certain Commerce officials and prescribe the organization and functions of the organization units that they head. The contents of the system are categorized by the following number series:

Number Series Content

1 Mission and Organization of the Department of Commerce

5 & 10 Secretarial Officers

15 Departmental Offices Reporting to the Secretary

20 Departmental Offices Reporting to the Assistant Secretary for Administration

23 Office of Inspector General

25, 30, 40, & 45 Operating Units Reporting to the Secretary

30 & 35 Operating Units Reporting to the Under Secretary for Economic Affairs

.02 All holders of sets of DOOs are responsible for keeping them current. The following information is provided to assist:

a. DOO issuances are for filing in a 3-ring binder, and should be filed in accordance with paragraph .01 above. OPOG provides divider tabs.

b. OPOG assigns a Transmittal Number to each DOO issuance. This number appears in the upper right corner of the DOO Form (first page of the DOO)). Transmittal numbers are assigned consecutively and are use for control purposes, as discussed in subparagraph d., below.

c. A Table of Contents is furnished with each set of DOOs, and is periodically updated and reissued by OPOG. Holders of sets of DOOs should keep their Table of Contents current with pen and ink notations until a subsequent update is issued.

d. A Check List is provided with each set of DOOs. It is used to record the DOO number and date, and Transmittal Number of each DOO as it is received by the organization unit. The Check List should be filed as the first page in the DOO binder and, when an issuance is received, the person responsible for maintaining the set should:

1. Post on the Check List the DOO Transmittal Number, the DOO number (and amendment number when appropriate), the effective date of the Order, and his or her initials.

2. Post on the Table of Contents the new, revised, or amended DOO(s), and delete those which are superseded or revoked.

e. Insert the new DOO issuance in the appropriate number series and remove any superseded DOO(s) (in accordance with the last section of the DOO: "EFFECT ON OTHER ORDERS.") from the binder. If an amendment to a DOO calls for pen and ink changes to the basic DOO, incorporate these changes.

f. Amendments to DOOs should be filed in descending numerical sequence (most current on top) in front of the basic DOO being amended.

SECTION 6. EFFECT ON OTHER ORDERS.

This Order supersedes Department Administrative Order 201-7, dated May 4, 1970.

Signed by: Acting Assistant Secretary for Administration

Office of Primary Interest: Office of Management Analysis and Control

Index Changes.

Add.

Department Organization Order Series 200-7

Organization Order Series, Department 200-7