PROCESSING DOD ISSUANCES: AIs AND DA&M/WHS ISSUANCES

• (1) Select the issuance template and issuance standards and save to your personal files (see Supporting Documents). Use of the template is mandatory. Do not write over a prior version of the issuance. For new AI's, Directives Division (DD) will provide a temporary number during internal coordination. Action Officers (AOs) will suggest a number for other issuances (see DOD ISSUANCE NUMBERING SYSTEM)


• (2) Print out the WRITING STYLE GUIDE and SPECIAL CONSIDERATIONS CHECKLIST or save them to your personal files. As you draft the issuance, refer to these and the other resources available from the DoD Issuances Website. The DD editors are also available to assist you during all stages of the process.

The issuance must be coordinated internally within the originating office or directorate; with WHS General Counsel (GC), Information Management Division (IMD), ODA&M Organizational Management and Planning (O&MP), Defense Privacy and Civil Liberties Office (DPCLO), and Pentagon Force Protection Agency (PFPA); and with any other DA&M office having equity in the issuance. Responses from WHS GC, IMD, and O&MP are mandatory before proceeding to step 1.c.

• (1) Complete and Route WHS Form 2, FOR INTERNAL COORDINATION


• (b) For issuances proposed by PFPA, the DA&M is the approval authority. For issuances proposed by WHS, either the DA&M or Director, WHS, will serve as the approval authority depending on the issuance and topic addressed. For issuances proposed by ODA&M, the DA&M shall serve as the approval authority.


• 1. Complete WHS Form 2 for Internal Coordination. Enter the coordinating directorates and offices in blocks 1 through 6. If additional blocks are needed, enter them on an additional WHS Form 2 and include it as an attachment.


• 3. Set the coordination suspense according to the length of the issuance and the urgency of the action. A minimum suspense of 10 workdays is customary for internal coordination of issuance actions.


• 4. Obtain the signature of the director, or his or her deputy, on the WHS Form 2 and route to the addressees with a copy of the draft issuance and a blank SD FORM 818, COMMENTS MATRIX FOR DoD ISSUANCES, or the issuance proposed for cancellation, according to your office's internal procedures.


• (2)Adjudicate the Coordination Responses. Review and adjudicate coordination responses as they are received, including confirming that the WHS Form 2 has been signed or an e-mail response was submitted by the director, or his or her deputy, of the coordinating agency. Consolidate the critical and substantive coordination comments and indicate their resolution on the SD Form 818. If there are conflicts, make every effort to resolve them at the lowest level; involve your chain of command in reconciling differences as appropriate. A non-response from DPCLO or PFPA should not delay processing.

• (1) Package contents:


• (a) APPROPRIATE WHS FORM 2 FOR FORMAL COORDINATION for signature of the director or his or her deputy. Prepare according to your office internal procedures. DO NOT have the WHS Form 2 signed at this time; you will be submitting the writable electronic file for DD review and edit.


• (b) SD Form 106. Determine formal coordination requirements according to block 15 of the SD Form 106 . Prepare the form according to the instructions on the form.


• (c) Issuance. Be sure that the issuance is saved as a Microsoft (MS) Word 97-2003 document (.doc).


• (d) Consolidated SD Form 818.


• (e) LIST OF COORDINATING OFFICIALS (internal).


• (f) Original signed WHS Form 2 for Internal Coordination and the internal coordinations received, including comments (Adobe .pdf version).


• (2) DD will review the coordination package contents for compliance with DoD standards and will contact you to provide an estimated review completion date. The review will include a content and technical review of the issuance (for new issuances and reissuances), the WHS Form 2 for Formal Coordination, and the SD Forms 106 and 818, as well as a review of the internal coordinations and the manner in which they were addressed in the issuance and the WHS Form 2.

Adjudicate and incorporate Directives Division edits in the package and resolve any outstanding coordination issues noted. Submit a clean copy of the issuance to DD. DD will post the issuance to the Directives Portal and request OGC provide a legal objection review. The Portal will automatically send an e-mail to the AO to inform them when the legal review is requested and when OGC provides a response.

• (1) The DD editor shall review the issuance before it is released to OGC and will work with the AO to resolve any outstanding issues.


• (2) OGC shall identify the issuance as "NOT LEGALLY OBJECTIONABLE" or "LEGALLY OBJECTIONABLE". If the issuance is legally objectionable, OGC will provide instructions to bring it into compliance with law. See paragraph 8.a. of Enclosure 3 of DoD Instruction 5025.01 for complete instructions regarding the legal objection review.

• (1) Incorporate any legal changes required by OGC. Submit WHS Form 2 formal coordination package for electronic signature by your director or his or her deputy.


• (2) Upon receipt of the signed WHS Form 2, e-mail to DD the complete formal coordination package, which shall include:


• (a) Signed WHS Form 2 for Formal Coord.


• (b) Unsigned SD Form 106 (Tab A).


• (c) Issuance (Tab B). For cancellations, no copy of the issuance proposed for cancellation is required. (DD will access via the DoD Issuances Website.)


• (d) List of Coordinating Officials (internal) (Tab C).


• (e) The consolidated SD Form 818 (internal) (Tab D).


• (f) Any electronic copies of WHS, PFPA, and ODA&M internal coordinations, including comments, NOT submitted during precoordination edit.


• (3) DD will review the package to ensure that any changes required by OGC have been made. If issues remain unresolved, the editor will contact you to attempt resolution. Once issues are resolved, DD will submit the formal coordination package to DA&M or Director, WHS, for SD 106 signature.


• (4) Upon receipt of the signed SD Form 106, DD will post the coordination task to the Portal, which electronically distributes the coordination request to the appropriately annotated DoD Components and provides the action officer (AO) with an e-mail. The AO will also receive an e-mail alert whenever a coordinating component posts its response to the Portal. For information on Portal processes, contact the Portal Manager at 703-696-4940 or DoDDirectives@whs.mil.

• (1) The Portal will e-mail the action officer (AO) each time a coordination response is received, and will e-mail reminders of upcoming and overdue suspenses to those components that have not yet posted their coordinations to the Portal. Only coordinators that have access to the Portal shall receive reminders from the Portal.


• (2) If the AO indicated on the SD 106 that coordination is required from agencies that do not have access to the Portal (this includes other Federal agencies such as the Department of State and the National Oceanic and Atmospheric Administration), he or she is responsible for providing the SD 106, SD 818, and issuance to those agencies and obtaining their coordination.

• (1) Review and adjudicate the responses as you receive them, including confirming that the coordination is signed at the appropriate level according to the LIST OF SIGNATURE AUTHORITIES. (DA&M will NOT respond to Portal coordination requests; the signature on the SD 106 was the DA&M concurrence.) Compile critical and substantive coordination comments and their resolution in a consolidated SD Form 818. If there are conflicts, make every effort to resolve them at the lowest level; involve your chain of command in reconciling differences as appropriate; address unresolved nonconcurrences in the WHS Form 2 prepared during Stage 3.


• (2) If comments are received that touch upon a legal issue or for which OGC input may be appropriate, initiate contact via e-mail with the Associate Deputy General Counsel (DGC) who provided the legal objection review in Stage 1. The Associate DGC shall reply with advice and assistance specific to legal issues and/or to other issues specifically identified by the AO. See paragraph 8.b. of Enclosure 3 of DoD Instruction 5025.01 for complete instructions regarding the adjudication review.


• (3) Revise the issuance consistent with adjudication of comments received and the results of the OGC comment reviews.


• (4) When all responding coordinating agencies' comments have been adjudicated and incorporated into the issuance as appropriate, provide the complete, final SD Form 818 and the final presignature draft issuance via email to the Associate DGC for review. The Associate DGC shall inform the AO of any outstanding or new legal issues and shall confirm when all legal issues have been satisfactorily addressed.

The signature package shall include:

• (1)WHS Form 2


• (a) Prepare the appropriate unsigned WHS Form 2 for Signature. Prepare the WHS Form 2 for your director or his or her deputy, according to your office internal procedures. DO NOT have it signed at this stage. The WHS Form 2 shall: 1. Request DA&M or Director, WHS, signature of the issuance or approval of its change or cancellation; or 2. If the issuance is a Directive for DepSecDef signature or approval of its change or cancellation, request DA&M signature of the action memo recommending DepSecDef signature/approval.


• (b) The WHS Form 2 must clearly and concisely explain any unresolved issues that arose during coordination and why the issuance should be signed as is. Issues include, but are not limited to:
  • 1. Timeliness (outdated coordinations).
  • 2. Non-response of primary coordinating agencies.
  • 3. Unresolved nonconcurs.


• (2) If issuance is a Directive for DepSecDef signature or approval of its change or cancellation, action memo from DA&M to the Deputy Secretary recommending signature or approval. If any outstanding issues are described in the WHS Form 2 as noted in subparagraph 3.a.(1)(b), the action memo must contain the same information.


• (3) Clean copy of issuance or copy of issuance proposed for cancellation.


• (4) List of Coordinating Officials (formal only).


• (5) Consolidated SD Form 818 (formal critical and substantive comments only).


• (6) Coordinations and comments from coordinators that do not have access to the Portal. The AO is responsible for obtaining these materials and must provide electronic copies of their coordinations, including comments, with the signature package. Their critical and substantive comments must be included on the SD Form 818.


• (7) E-mail from OGC confirming completion of the adjudication review, or, if OGC did not respond to requests for review, copies of the AO's requests.

The review will include a content and technical review of the issuance, the WHS Form 2, and the SD Form 818, as well as a review of the coordinations and the manner in which the comments were addressed in the issuance and the WHS Form 2.

c. DD will return the completed presignature review and inform you whether the issuance is ready to be signed or approved for cancellation, or if DD will need to perform an additional presignature review before releasing for signature or approval.

• (1) Submit clean copies of the issuance, action memo, consolidated SD 818, and list of coordinating officials to DoDDirectives@whs.mil.


• (a) The DD will post them to the Directives Portal and request OGC provide a legal sufficiency review. The Portal will automatically send an e-mail to the AO to inform them when the legal sufficiency review is requested and when OGC provides a response.


• (b) The review shall be provided by the GC, DoD; the Principal Deputy GC, DoD; or one of the DGCs, as determined by the GC, DoD. OGC will identify the issuance as "LEGALLY SUFFICIENT" or "NOT LEGALLY SUFFICIENT". If the issuance is not legally sufficient, OGC will provide instructions to bring it into compliance with law. See paragraph 8.c. of Enclosure 3 of DoD Instruction 5025.01 for complete instructions regarding the legal sufficiency review.


• (2) Upon incorporating changes from OGC, obtain approval for release of unclassified issuances from the Office of Security Review (OSR). Submit a clean copy of the issuance, the legal sufficiency review, the list of coordinating officials, with DD Form 1910, “Clearance Request for Public Release of Department of Defense Information, to secrev1@whs.mil. OSR approval is NOT required for approval of issuance cancellations or for classified or For Official Use Only issuances.


• (3) DO NOT submit for OGC review and/or OSR approval unless the DD has indicated that the issuance is ready for signature.


• (4) OGC and OSR approval MUST be obtained before the issuance can be released (published) on the Internet. If OSR review requires changes, OGC legal sufficiency review is invalid and must be renewed. Do not make any changes other than those required by OGC and OSR.

Upon receiving the OSR approval (if applicable); submit the WHS Form 2 package to your director or his or her deputy for their electronic signature on the WHS Form 2.

• (1) After the WHS Form 2 is signed, email DD:


• (a) Signed WHS Form 2.


• (b) MS Word copies of the final issuance, List of Coordinating Officials, SD Form 818, and, for Directives to be signed by the Deputy Secretary, an action memo as described in Stage 3. For cancellations, no copy of the issuance proposed for cancellation is required.


• (c) Electronic copy of the OSR approval for Internet release, if applicable.


• (d) Electronic copy of OGC legal sufficiency review verification if unavailable on the Portal.

• (2) If the signature package is correct and complete, the DD will forward the hard copy package to DA&M or Director, WHS, for signature or cancellation approval. If any issues are unresolved, the assigned editor will work with you to resolve them in as timely a manner as possible. Directives for DepSecDef Signature will be forwarded to that office for signature by ODA&M.

• (1) A change amends an existing issuance and has the full authority of the issuance. A changed issuance retains its original date (initial publication or last coordinated revision) and its original signature.


• (2) Changes to issuances are permitted and encouraged during their respective cycle. (5 years for DoDD's, DoDI's, DoDM's, and AI's; 7 years if these issuances are certified current; 180 days for DTM's)


• (3) If more than 25 percent of an issuance requires change, unless a waiver is granted by DA&M for special circumstances, the entire issuance must be revised, coordinated, and reissued with a new date and signature.

To draft a change:

• (1) Download the most current version of the issuance from the applicable DoD Issuances Website page. Save the Rich Text Format (RTF) file as an MS Word document. If no RTF file is available, contact the Directives Division for assistance.


• (2) Use the "Format Font" and "Reviewing" tools on the MS Word Standard Toolbar to identify deleted information in red font with a red strike-through and to insert new information into the issuance in red italics. Do NOT use "Track Changes" for this function. See CHANGES AND CANCELLATIONS in the "Training" section of the Supporting Documents page for complete instructions.

• (1) For guidance on determining releasability, go to DoDD DoDD 5230.09, DoDI 5230.29, and SECDEF MESSAGE:  INFORMATION SECURITY/WEBSITE ALERT.


• (2) For issuances that do not have a releasability statement, select one from the options in Figure 3 of the processing procedures. Enter it into the issuance in red italics immediately preceding the "effective date" section above the signature.

An administrative change alters only nonsubstantive portions of an issuance such as titles and dates of references, and organizational names and symbols. Administrative changes to issuances, other than Directives or SecDef / DepSecDef DTM's, do not require formal coordination or legal reviews. Directives and SecDef / DepSecDef DTM's must undergo an OGC legal sufficiency review and, if applicable, a security review by OSR.

• (1) Obtain Internal Coordination. Coordinate the draft changed issuance internally within your office or directorate, then follow the procedures in Stage 1. to coordinate within WHS and ODA&M.


• (2) DD Review. Revise the issuance consistent with the internal coordination comments and submit an electronic package to DD for review. Package contents are:


• (a) WHS Form 2. Prepare an appropriate WHS FORM 2 FOR SIGNATURE to obtain the DA&M or Director, WHS, approval of the change. Prepare for the signature of your director, or his or her deputy. The WHS Form 2 should NOT be signed at this time.


• (b) Final draft of changed issuance.


• (c) SD Form 818 if any comments were received.


• (d) List of Coordinating Officials (internal)


• (e) Original signed WHS and ODA&M internal coordinations, including any comments (Adobe .pdf format).


• (3) OSR Approval and Signature of WHS Form 2


• (a) Upon return of DD review and after incorporation of any changes:


• 1. If you are making an administrative change to a DIRECTIVE, submit a clean copy of the unsigned WHS Form 2 for Signature, issuance, SD 818, and list of coordinating officials to DD for posting to the Portal for OGC legal sufficiency review.


• 2. Submit a clean copy of the issuance with DD Form 1910 to secrev1@whs.mil for OSR approval, if applicable (see subparagraph 5.c.(2)).


• (b) Obtain electronic signature of your director or his or her deputy of the WHS Form 2 for Signature requesting DA&M or Director, WHS, approval of the change.


• (4) Obtain Approval to Post the Change. Upon WHS Form 2 signature:


• (a) E-mail DD:


• 1. Signed WHS Form 2.
  
• 2. Issuance (Tab A).


• 3. List of Coordinating Officials (internal) (Tab B).


• 4. Consolidated SD Form 818, if appropriate (internal) (Tab C).


• 5. OSR approval, if applicable.


• 6. (For Directives, SedDef / DepSecDef DTM's) OGC verification of legal sufficiency review.


• (b) The DD editor shall contact you if any issues are identified and will resolve them with you. After review, DD shall forward the package via SACCP for DA&M or Director, WHS, approval.


• (c) Upon receipt of the DA&M or Director, WHS, approval, DD will post the changed issuance to the appropriate DoD Issuances Website and notify you.

Process substantive and conforming changes according to Stages 1 through 4 of these procedures.

• (1) Substantive changes to issuances must be fully coordinated.


• (2) Conforming changes to issuances may be coordinated with the mandatory agencies only.


• (3) Both substantive and conforming changes require OGC legal reviews and, if applicable, a security review by OSR.

If, during review of an issuance or at any other time, the owning office or directorate determines the issuance has served its purpose, is no longer needed, and is not appropriate for incorporation into a new or existing issuance, the office or directorate shall initiate its cancellation.

• (1) All cancellations shall be fully coordinated.


• (2) An issuance is cancelled by the original signing authority. The action memo must be signed at the same level at which the issuance was signed.


• (3) Follow established procedures in Stage 1 to coordinate the cancellation internally.


• (4) Submit the appropriate WHS Form 2 and unsigned SD Form 106 to the Directives Division (DD) for review.


• (5) Directives Division (DD) will edit and send the SD Form 106 up for signature; if any issues must be resolved, the editor will contact you to assist in the process. OGC legal objection review is NOT required. After the SD Form 106 is signed, it will be returned to DD to post to the Portal to initiate formal coordination.


• (6) Adjudicate any comments received during formal coordination and make a final package consisting of an appropriate unsigned WHS FORM 2 FOR SIGNATURE (change text as applicable for issuance cancellation), LIST OF COORDINATING OFFICIALS, and an SD Form 818.


• (7) Submit the WHS Form 2, list of coordinating officials, and the SD Form 818 to DD for a presignature review.


• (8) Upon receiving the presignature review, make changes required by DD. Submit the unsigned WHS Form 2, list of coordinating officials, consolidated SD Form 818, and a .pdf of the issuance to be cancelled, to DD. The Directives Division will review and post to OGC via the Portal for a legal sufficiency review.


• (9) Obtain the signature of your director or his or her deputy on the WHS Form 2. Submit the signed WHS Form 2, list of coordinating officials, consolidated SD Form 818, and OGC's notification of legal sufficiency review (if not available on the Portal) to DD via e-mail for final processing for cancellation.


• (10) Upon receipt of the DA&M or Director, WHS, approval, DD will remove the canceled issuance from the DoD Issuances Website and update the Canceled DoD Issuances Search database.