Attachment_07l_5215.1X.pdf

DEPARTMENT OF THE NAVY

~ FLEET READINESS CENTER EAST

• CHERRY POINT NC 28533.0021 . lx

OCT 272015

FRC EAST INSTRUCTION 5215.1X

From: Commanding Officer, Fleet Readiness Center East

Subj: DIRECTIVES CONTROL

Ref: (a) NAVAIRINST 5215.5L

(b) OPNAVINST 5215.17 Cc) SECNAV M-5210.1, Department of the Navy Records

Management Manual

(d) SECNAV M 5210.2, Department of the Navy Standard

Subject Identification Code (SSIC) Manual Ce) SECNAV M-5216.5E, Department of the Navy (DON)

Correspondence Manual

(f) FRCEASTINST 5222.1A

1. Purpose

a. To establish policies, procedures and responsibilities to develop, release, distribute, and update Fleet Readiness Center East (FRC East) directives (e.g. instructions, notices, and change transmittals) per references (a) through Ce)

b. To publish Records Disposition Program policies, goals, and procedures. Per reference Cc) , all government agencies are required to establish and operate active records disposition programs.

2. Cancellation and Summary of Changes. FRCEASTINST 5215.1W;

this instruction has been updated to incorporate guidance for requesting deviations from policies or responsibilities outlined in this instruction.

3. Scope. This instruction applies to the directives control point (DCP), all instruction custodians, DSCPs, subject matter experts (SME5) , process owners, stake holders, reviewers and drafters of FRC East directives.

“UNSURPASSED SERVICE TO THE FLEET AND RELENTLESS FOCUS ON QUALITY, ENVIRONMENT

AND OCCUPATIONAL HEALTH AND SAFETY”

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4. Policies

a. A FRC East directive is issued to implement, clarify, and/or define local policies and procedures in accordance with higher level guidance. Directives issued by FRC East cannot oppose, replace, supersede, or contradict a higher level directive, policy, or federal law. Conflicts that arise between a published FRC East directive that is not required by law or other regulatory authority empowered to issue regulations and policies binding on Department of Defense (DOD) , and an executed collective bargaining agreement (CBA) with FRC East, will be governed by the terms of the signed and executed CBA. The FRC East shall coordinate document changes with customers and proper authorities in accordance with regulatory requirements and higher-echelon direction, and route proposed publications for input consistent with local procedures and CEA terms.

Note: Higher level directives include: DoD, Office of the Secretary of the Navy, Office of the Chief of Naval Operations, Department of the Navy, Commander Naval Air Systems Command and Commander, Fleet Readiness Centers documents. The FRC East directives will reference and cite to all relevant documents of external origin and/or authority. The FRC East directives will not generally repeat higher authority directives already in place unless there is first a determination that a valid need exists to address additional, major, or site-specific direction and/or information. Instruction custodians should verify accuracy and current status of referenced documents using the external organization’s document Web site.

b. The FRC East cannot assign responsibilities or direct action to an activity outside its authority, except when a directive from a higher authority designates the FRC East as the lead command.

c. Initiate a FRC East directive when required to meet one or more of the following conditions:

(1) Regulate administration;

(2) When essential for effective administration;

(3) Establish policy;

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(4) Delegate authority or assign responsibilities;

(5) Establish an organizational structure;

(6) Assign missions, functions, or tasks;

(7) Establish a procedure, technique, standard, guide, or method of performing a duty, function, or operation;

(8) Establish a reporting requirement;

(9) Change, replace, or cancel another directive; or,

(10) To establish cross competency responsibilities.

d. All FRC East directives should provide clear, concise policy statements to users and define desired results. They should delegate responsibility and authority while detailing procedures to the lowest possible level.

e. The Commanding Officer (CO) or his authorized designee will sign FRC East directives. Per the guidance outlined in reference (e) , the CO has granted “By direction” signature authority to group/department heads. This authority allows group/department heads to sign directives that originate from their department. This authority may not be redelegated and remains in effect until the designee leaves his/her position.

The Administrative Support Division (Code 7.1.3) maintains a list of personnel authorized to sign directives.

f. All persons who have been delegated signature authority for directives and all others responsible for drafting and publishing FRC East directives on behalf of the CO are required to ensure the Counsel Group (Code 11.0) has conducted legal review of all new FRC East directives, revised directives, and republishing of existing directives. Legal review will be conducted after completion of the routing process to DSCPs and local Union officials and prior to routing directives to the CO or his authorized designee for information, concurrence, and/or signature.

g. A signature on FRC East 5605/11, “Route Sheet” (green copy) by the group/department head is mandatory for directives that require the COs or Executive Officer’s signature. If the

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group/department head is on temporary additional duty or on leave, the acting group/department head may legibly sign and annotate that they are “Acting.” This routing takes place after all other electronic routing has been completed. Group /department heads will be given five days from the date of receipt to return the signed FRC East 5605/11 (green copy) and attached directive to the DCP.

h. All FRC East directives are effective upon signature.

Competencies will have 60 days from the date of signature to become compliant. This includes updating of documentation, processes, etc. Justification will be required for any area failing to meet the 60-day requirement. The SME of the effected process outlined in the directive will provide justification for the noncompliance and include an estimated date compliance will be achieved. Justification, along with department head concurrence, will be forwarded to the Directives Manager (Code 7.1.3) via e-mail.

i. Competencies will have 60 days after signature of a higher level directive to become compliant. This includes updating of documentation, processes, etc. Justification will be required for any area failing to meet the 60-day requirement.

The SME of the effected process outlined in the directive will provide justification of the noncompliance to include an estimated date compliance will be achieved. Justification along with department head concurrence will be forwarded to the Directives Manager (Code 7.1.3) via e-mail.

j. Directives forwarded to the CO’s Staff Assistant for signature by the CO shall be returned to the DCP within 10 business days of receipt for further processing.

k. All FRC East instructions are routed in the Workload Management System (WMS). For routing of notices and change transmittals please contact the Directives Control Point (Code 7.1.3)

1. All FRC East standard operating procedures shall adhere to reference (f) .

5. Responsibilities

a. Directives Control Point (DCP) within Code 7.1.3:

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(1) Per references (a) through (e) , maintains and operates the FRC East directives control program.

(2) Provides general program guidance and assistance to instruction custodians, DSCPs, process owners, and reviewers.

(3) Identifies and resolves overlaps and/or possible conflicts with existing FRC East instructions or notices.

(4) Incorporates new and existing instructions into WMS.

(a) The DCP creates a task in WMS for the initial review of new instructions and the annual review of current instructions.

(b) The DCP then sends an assignment via WMS from this task in series to the instruction custodian and IDSCPs.

(c) System generated Outlook e-mail review notifications are sent to the instruction custodian 90 days prior to the instruction’s annual review date. Delinquent system generated Outlook e-mail notifications are sent to the custodian and the approver. (The approver is listed on the FRC East Instruction Master List Web page) . Instruction custodians and DSCP5 should use the FRC East Instructions Master List Web page to anticipate the Outlook e-mail notifications.

(5) Ensures compliance with directive issuance standards coordinating as necessary with the issuing group/department.

(6) Assigns a consecutive number to new instructions.

Numbers assigned to instructions that have been canceled will not be reissued.

(7) Uploads associated forms to Naval Forms Online.

(8) Prepares the instruction for signature and posts it withi.n 15 days of receipt from the instruction custodian, consistent with the policy outlined in paragraph 4g. This is done by:

(a) Receiving the signed directive (and accompanying FRC East 5605/11 [green copy]) from the CO’s Staff Assistant or issuing competencies;

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(b) Scanning the instruction into an Adobe Acrobat file and posting it to the official FRC East Instructions Master List Web page.

Cc) Storing, controlling, and maintaining all current FRC East instructions on the FRC East Instructions Master List Web page.

Cd) Sending Outlook e-mail notification to the Public Affairs Specialist (Code 7.5) for publication to the MyNAVAIR FRC East News and Announcements Web page.

b. Instruction Custodian

(1) For new directives, determines if the type of directive to be issued is an instruction, notice, or change transmittal. The different types of directives are defined below:

(a) Instruction. A directive containing authority or information having continuing reference value or requiring continuing action. It remains in effect until superseded or otherwise canceled by the originator or higher authority.

(b) Notice. A directive of a one-time or brief nature which has a self-canceling provision and which has the same force and effect as an instruction. Normally it will remain in effect for less than 6 months, but is not permitted to remain in effect for longer than 1 year. Any requirement for continuing action contained in a notice, such as submission of a report, use of a form, or following a specified procedure, is considered canceled when the notice is canceled unless the requirement is incorporated into another suitable document.

Cc) Change Transmittal. Change transmittals are used to issue minor changes to instructions. A minor change is considered less than 25% of total pages affected of the current instruction. Each transmittal describes the nature of the changes it transmits and gives directions for making them.

(2) Upon determination of the type of directive to be issued, the instruction custodian or DSCP will contact the DCP for initiation of a WMS task to begin, the initial review of the instruction.

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(3) For existing instructions, conducts an annual review to ensure currency and cancels promptly when obsolete.

Note: Per the requirements of reference (a), all FRC East instructions shall be reviewed annually. However, instruction custodians need not wait until the next required due date to review their instruction when changes to policy, procedures, responsibility assignments, reporting requirements and like matters of substance occur. Instruction custodians may contact the DCP to begin a review of their instruction when this happens.

(4) Receives assignment via WMS, acknowledges it and begins review of the instruction.

Note: If the instruction custodian determines no revision is required, the instruction custodian shall submit a response to their assignment in WMS stating “Reviewed, no changes necessary.” The instruction custodian shall return the WMS assignment back to the ]DSCP, and route in accordance with paragraph 4f above for Legal review or declination of same by Code 11.0. Upon completion of all routing requirements, the DCP will update the FRC East Instruction Master List Web page to reflect that the review is complete on that date.

(5) Upon completion of the review, attaches a revised version of the document to the task and sends a review assignment to key and required reviewers viaWMS (Instruction custodian should activate track changes within this document to allow for the insertion of comments and/or concerns by the reviewers) . Required reviewers include, at a minimum, designated IDSCPs from all competencies affected by provisions in the instruction, e.g., any group or department where the instruction assigns responsibilities, tasks, or functions;

Unions and Code 11.0. Instruction custodians should follow-up this action with an Outlook e-mail to their reviewers to facilitate timely WMS action/response, as the WMS does not send Outlook e-mail notifications alerting users to new assignments arriving in their inbox.

(6) Once input has been received from stakeholders and Union officials, and relevant portions incorporated, ensures route to Code 11.0 in accordance with paragraph 4f above.

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(7) Ensures directive adequately documents programs, functions, assigned tasks, organization, policies, and procedures.

(8) Prepares directives following the requirements of references (a) through (e)

(9) Ensures early clearance and coordination is obtained from the FRC East Forms Manager (Code 7.1.3) when forms are required by the directive.

(10) Records input from all key and required reviewers.

Comments/input received shall be considered and resolved if:

(a) Comment is directed by:

1. Law or legal basis;

2. Higher level guidance;

3. Instruction and/or directive; and/or

4. Official internal process (i.e., standard operating procedures, manual, statement of work, etc.).

Note: The instruction custodian should ensure to address any comments/suggestions/concerns received by Code 11.0 that have not been incorporated into the document. Concerns should be addressed before the document is published.

(b) The directive assigns responsibilities to another competency.

Note: Significant differences of opinion between the instruction owner/custodian and other stakeholders/reviewers are to be resolved before proceeding to finalization and/or publication of the instruction. Problems in reaching agreement are referred to group/department head levels for the instruction custodian and involved reviewer until the matter is resolved.

(11) Utilizes available resources such as the “FRC East Instruction, Change Transmittal, and Notice Templates” located on the “Documents/Instructions/Forms” Web page of the MyNAVAIR FRC East Web site. This section also includes guidance for

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formatting directives and instructions on how to use the Microsoft Word Readability Statistics tool. This tool will assist in achieving a grade-level statistic between 8th and 12th grade. User should ensure the reading ease/readability statistic scores between the acceptable 35 — 70 range.

(12) Incorporates approved changes.

(13) Ensures logical arrangement of content.

(14) Changes wording to improve documen~ clarity.

(15) Becomes familiar with and follows references (b) and (e) with regard to the format of directives.

Note: The DCP will return directives not following proper format to the instruction custodian and DSCP for rework.

(16) Uses their DSCP and/or department administrative staff to assist with proper formatting, spelling, grammar, and proper competency code and title usage.

(17) In WMS, creates an assignment and routes instruction to key reviewers of the affected area. Non-response within ten working days is considered concurrence.

Note: Key reviewers are defined as process owners, subject matter experts, and stakeholders.

(18) In WMS, creates an assignment and routes the instruction to required reviewers. Non—response within ten working days is considered concurrence. If Code 11.0 determines that concurrence cannot be given within the standard 10 working day review timeframe, they will notify the instruction custodian and the DCP immediately. This notification should be done via Outlook e-mail. Required reviewers include:

(a) Competency IDSCPs. Designated DSCP5 from all competencies affected by provisions in the instruction, e.g., any group or department where the instruction assigns responsibilities, task, or functions shall review the instruction to provide comments and/or concurrence.

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(b) Union Presidents. Local Unions review all instructions.

(c) Code 11.0. Responsible for ensuring FRC East instructions are legally sufficient and consistent with laws, rules, and regulations and may decline review of certain instructions. Competency IDSCPs are responsible for ensuring instructions are routed to Code 11.0 for legal review or declination of legal review after all changes have been incorporated and prior to signature or publication.

(19) If the instruction custodian determines that the instruction will not complete the review process within the established time frame, an extension may be requested from the DCP. To request an extension, the instruction custodian must submit justification via Outlook e-mail with group or department head concurrence to the DCP. An annotation of the approval or disapproval of the extension request, which is at the discretion of the DCP, will be made in the “NotesTT section in WMS by the

DCP.

c. Competency DSCPs

(1) Become familiar with this instruction and references

(a) through (f)

(2) Advise and provide guidance regarding policies and procedures for preparing directives to those who have responsibility for directives within the competency, to include instruction custodians.

(3) Upon receipt of a directive from another competency for review, determine if there are any process stakeholders within your competency. If so, ensure they are given an opportunity to review the directive for comment.

(4) Competency ]DSCP5 are responsible for ensuring instructions are routed to Code 11.0 for legal review or declination of legal review prior to forwarding to DCP for finalization/publication.

(5) Thoroughly review your competency’s proposed directive prior to forwarding for signature.

(a) Verify conformance with directive’s standards and format as outlined in references (b) , and in some instances, reference (e)

(b) Using reference (b), verify the appropriate type of release (instruction, notice, or change transmittal) is being used;

(c) Confirm the appropriate standard subject identification code is assigned;

Cd) Verify references cited are current (see note below);

Note: Instructions listed as references will include the latest revision letter (if revised) . If a revision is required during the annual review, it is appropriate at that time to update references. Per reference (b), page Ti-iD of enclosure (1), “references of a directive do not become obsolete merely because a revision has been issued, and no change to a directive will be issued merely to update such a reference.”

Ce) Ensure the directiv~e does not duplicate, overlap, or conflict with other directives. If such conditions exist, the group/department head should be consulted for a determination before proceeding; and,

(f) Ensure there is proper control, implementation, and use of new or revised reports and forms in conjunction with the release.

6. Deviations. Deviations from policies or responsibilities outlined in this instruction are granted in rare instances and on a case-by-case basis. Competencies who desire to deviate must contact the Administrative Support Division (Code 7.1.3) for further guidance.

7. Cancellation of Instructions

a. When the instruction custodian wishes to cancel an instruction, they will forward a cancelation request via Outlook e-mail to the DCP with justification and group/department head approval, after seeking guidance and input from Code 11.0. Once proper concurrence has been achieved, the DCP removes the

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instruction from the FRC East Instructions Master List Web page and lists it on the Canceled FRC East Instructions Web page. An electronic copy of the canceled instructions will remain accessible for a period of two years, after which the canceled instruction will be removed from the Web page.

b. When a FRC East instruction is canceled, an Outlook e mail notification is sent to the instruction custodian, ]DSCPs, and group secretaries.

c. It is the instruction custodian’s responsibility to notify key and required reviewers of the intent to cancel an instruction.

8. Review. The Administrative Support Division (Code 7.1.3) will review this instruction annually.

9. Records Management. Records created as a result of this instruction, regardless of media and format, will be managed per reference (c)

10. Forms Required. The FRC East 5605/11, “Routing Sheet” is available on the Naval Forms Online Web site.

MARY BETH FENNELL

By direction

Distribution: II