Subject:
RESPONSIBILITIES AND PROCEDURES FOR DELEGATING AUTHORITY
8-101-00
Purpose
10 Legal Importance of Delegations
20 Legal Basis for Delegating Authority
30 Responsibilities
40 Policies on Delegating Authority
50 Documentation to Request Delegations of Authority
60 Documentation for Delegations of Authority Within the IHS
70 Processing of Documentation
80 Actions by the Delegating Official
90 Publication of Delegations
100 Technical Assistance
Exhibit
8-101-A DDCO Listing for IHS Associate
Director Offices
Exhibit
8-101-B DDCO Listing for IHS Area Offices
Exhibit
8-101-C Sample Enabling Oocument for Delegation
of Authority
Exhibit
8-101-D Sample IHS.Delegations of Authority
Exhibit
8-101-E Sample Transmittal Memorandum
for Delegation of Authority
Exhibit
8-101-F Sample Transmittal Notice for
Delegation of Authority
Exhibit
8-101-G IHS Headquarters Delegation of
Authority Format
Exhibit
8-101-H IHS Area Oelegations of Authority
Format .
8-101-00 PURPOSE
A.
This chapter establishes policy and procedures for preparing and processing
delegations of authority
within the Indian Health Service (IHS).
B.
This chapter supersedes all previously issued IHS instructions pertaining
to the preparation and
processing of delegations and is to be used in conjunction with the Department
of Health and
Human Services (HHS) Chapter 8-100 and Public Health Service (PHS)
Chapter 8-101.
8-101-10 LEGAL IMPORTANCE OF DELEGATIONS
A.
Delegations of authority are vital to the operation of IHS. Delegations
allow the Director, IHS, to delegate
to IHS officials the authority necessary to carry out the activities of
the Agency, Carrying out these
activities without the authority could have a serious : adverse impact
on the Agency and the officials who
act without legal aughority.
B.
It is essential that each offi'iial of this Agency has written evidence
of legal authority before taking any
action to expend or use Government funds or resources. An official who
approves the expenditure
of funds without proper legal authority could be held liable for the funds.
8-101-20 LEGAL BASIS FOR DELEGATING AUTHORITY
A.
Authority of the Director. IHS
The
IHS derives authority to delegate through the Reorganization Order of January
4, 1988, or subsequent delegations from the Assistant Secretary for Health
(ASH), PHS, for program delegations, and the Director, Office of Management
(OM), PHS, for administrative and financial delegations.
B. Authority to Delegate and Redelegate
1. The Director, IHS, or any other IHS official may delegate and authorize
redelegation of any
authority conferred on him/her by law or delegation, unless the law
or the delegation prohibits
such redelegation.
2. Any IHS official or employee who delegates or redelegates authority
may continue to exercise the
authority, since the act of delegating does not divest the delegating official
of the authority.
C.
Rescinding
Authority
Authority that is delegated to an official may be retained at that level
by the official.
8-101-30 RESPONSIBILITIES
A. Staff Responsibilities
The
Office of the Director, IHS, the IHS Associate Directors, and the Area
Directors are responsible for
identifying
the need for legal authority to administer their programs and activities.
The Manual
Issuance
and Delegations Control Branch (MIOCB), Division of Management Policy (OMP),
Office
of Administration and Management (OAM) is responsible for (1) developing
requests for delegations
of
program authorities and (2) submitting the delegation packages,through
the Director, IHS, for approval,
and
forwarding the delegation packages to the Secretary through PHS when appropriate,
as prescribed herein.
In
those instances where the authority has broad delegation impact throughout
the IHS, MIDCB is responsible
for
developing The delegation package requesting ttie authority from the Secretary,
HHS.
The
IHS officials are responsi'ble for identifying the need for delegating
authority within their organizations
and
to subordinate organizations; for delegating authority to subordinates
and making
certain
that these officials understand the substance and limits of their authorities;
and for periodically
reviewing
current delegations within the organization to determine their continued
need.
B.Headquarters Delegation Control System
1.
The Chief, MIOCB, is the Directives/Delegations Control Officer (DDCO)
for the IHS.
The Agency DDCO, under the direction of the Director, DMP,
assumes the following responsibilities:
a. Develops IHS policies and procedures regarding the delegation of authority.
b. Provides IHS instructions on delegations that are adopted.
c. Directs the provision of technical assistance on the use and application of delegations of authority.
d. Serves as the principal staff advisor within IHS on delegations of authority.
e Administers the IHS Delegations Control System.
f. Coordinates the review of proposed delegatiok submitted for
approval by the Secretary, the ASH, or the Director, IHS.
g. Maintains a master listing and the official files of all delegations made by the Director, IHS.
2.
Each IHS Associate Director shall designate a DDCO and alternate for their
respective
organization in writing. Each Associate Director's DDCO assumes the following
responsibilities:
c. Administers the organization's delegations of authority.
d. Maintains a master listing and official files of all delegations
made to and
within the organization.
3.
See IHS Exhibit 8-101-A for a complete listing of principal DDCOs within
the IHS
Associate Director Offices.
C.
Area
Delegation Control System
Each
Area Director shall develop and maintain, within the guidelines of this
chapter, a delegation control
system
for their organization that, at a minimum, provides for the following:
1. Designation of an Area OOCO and an alternate DOCO.
2.
Effective review of each delegation before putting it into effect to ensure
that it meets the criteria
stated in this chapter.
3.
Prompt notification to all affected managers, supervisors, and other personnel
of any changes in
the authorities delegated to them.
4.
Effective means for keeping all delegations current and available,
including but not limited to these actions:
a. Prompt identification of the need to delegate authority.
b. Filing of all delegations made to or within the organization with the organization's DDCO.
c.
Periodic review (at least annually) of existing delegations to determine
if they are needed,
up-to-date, and consistent with Department, PHS, and IHS policies.
5. See IHS Exhibit 8-101-B for a complete listing of principal DDCOs within the IHS Area Offices. .
8-100-40 POLICIES ON DELEGATING AUTHORITY
A. Flow of Delegated Authority
1. Program authorities are delegated by the ASH to the Director, IHS, for
redelegation within IHS,
as appropriate. Program delegations normally follow organizational
lines except in cases where it is
stated otherwise (i.e., laws, or the delegations;from the ASH state who
must exercise the authority).
2. Administrative authorities are delegated by the ASH to the Director,
OM, who delegates to the Director,
IHS(who in turn redelegates to the Director of Headquarters Opetations
(DHO), IHS. Administrative
and financial management delegations normally follow organizational lines,
except in cases where the
delegations from the Director, IHS, state otherwise.
3.
.Personnel administrative authorities for IHS Headquarters East staff are
delegated to the Director,
Division of Personnel Management (OPM), IHS, by the Associate Director,
OAM.
4.
Personnel administrative authorities for the personnel staffs within the
Area Offices are delegated by the
Assistant Secretary for Personnel Administration (ASPER) to the Regional
Personnel
Officers, who redelegates directly to the Area Directors.
B.
Authority
of the Deputy Director
The
Deputy Director, IHS, has the same authority as the Director only when
acting in the
Director's
absence.
C. Authority of the DH0
The DH0 has all appropriate administrative and program authorities as delegated by the Director, IHS.
D . Authority of the Associate Director. OAM
The
Associate Director, OAM, as the Chief Administrative Officer in the IHS,
has all the appropriate
authorities
as delegated by the DHO. The A ssociate Director, OAM, redelegates authority
to all
Associate
Directors and others, as appropriate.
E. Authority of the Associate Directors
The
Associate Directors have appropriate administrative authorites as
delegated by the Associate Director,
OAM.
The Associate Directors have appropriate program authorities as permitted
by the Public Law or
Executive
Order.
F. Authority of the Area Directors
The
Area Directors have the appropriate administrative authorities as delegated
by the DHO.
The
Area Directors have appropriate program authorities as permitted by the
Public Law
or
Executive Order.
G. Authority to Redelegate
Any
delegated authority may be redelegated totally or partially unless the
delegation document
prohibits
or restricts redelegation. All delegation documents shall state whether
an authority can
or
cannot be redelegated.
The
IHS Associate Oirectors and Area Oirectors should redelegate both program
and administrative
authorities
to the appropriate operating level, when permitted. Redelegations
should follow the
organization's
chain of command.
G. Delegating Authority to Positions
Authority
is generally delegated from official position to official position. Therefore,
IHS authorities
are
delegated to official titles (e.g. Associate Director, Office of Health
Programs). On rare occasions,
an
administrative or financial management authority may require delegation
to a specific individual
within
an organization.
If
an official holds two titles, he/she receives or delegates authority as
the incumbent of the position to
Which
the delegation applies. For example, one person may function as both the
Associate Director,
OAM,
and the Director, OMP. However, when he/she receives or delegates authority
in his/her
capacity
as Director, OMP, only the title Director, OMP, is used in the memorandum;
the title
Associate
Director, OAM, is omitted.
H.Delegations to be in Writing
All
delegations shall be made in writing. See General Administration
Manual
(GAM) IHS Chapter 8-101-60 for format and content of delegation
documents.
I. Effective Date of Delegations
Each
delegation becomes effective upon the date of signature. No delegation
can be made retroactive.
However,
actions taken prior to the effective date may be ratified by the Director,
IHS, or appropriate
delegating
official with the approval of the Office of General Counsel (OGC).-.
J. Review by the OGC
All
program delegations within IHS will be cleared with the OGC. If the delegation
is for the signature
of
the Director, IHS, the ASH, or the Secretary, formal clearances shall be
obtained by,MIDCB staff
before
submission to the Executive Secretariat/IHS, or the Director, IHS. The
initiator of the
delegation
May obtain advice and guidance. from the OGC during the developmental stage.
K. Effect of Reorganization on Delegations
When
an IHS organization is reorganized, delegations to and within the
IHS organization should be
continued.
Therefore, a statement ("in them or their successors") should be added
within the
reorganization
order to continue existing authorities. See GAM HHS Chapter 8-60
and GAM
HHS
Chapter 8-60-50H.
L. Authority of Acting Official
Authority
is generally delegated from official position to official position. Therefore,
an acting official will
delegate
an authority in the full capacity of the position and omit the word "Acting"
in the "From" line of
the
instrument of delegation, The word "acting" is added to the title below
the official's signature. Similarly,
the
word "acting" is omitted in the "To" line of the instrument of delegation.
Any officially designated
individual
in an acting capacity has the full authority of that official position.
M. Advance Consultation
During
the planning stage of a new, amended, or canceled delegation, consultation
is advised. The IHS
officials
should consult with MIDCB staff, OGC, or any other IHS staff affected directly
or indirectly
by
the delegation.
N.
Effect
of Absence of Funds on Program Delegations
The
absence of funds appropriated by the Congress for a program for any fiscal
year will not be used as
grounds
to avoid or defer requesting delegations of authority pertaining to that
program by the
responsible
IHS office.
0. Effect of Subsequent Legislation
Program
authorities are delegated on an "in futuro" basis and should read,
for example: "Indian Self-
Determination
and Education Assistance Act, as amended." The term "as amended" encompasses
subsequent
legislation and automatically conveys any additional authorities contained
therein.
Delegations
of authority for public laws that do not amend the PHS Act or the
Social Security Act,
so
called free-standing public laws, should state "as amended
hereafter."
8-101-50 DOCUMENTATION TO REQUEST DELEGATIONS OF AUTHORITY
A.
Request
for a Delegation of Authority from the Secretary to ASH, with Redelegation
to the Director, IHS.
For
information on this type of documentation, see
GAM
PHS Chapter 8-101-20.
6.
A
Request for a Delegation of Authority from PHS to the Director, IHS
(Without Requiring a Delegation from the Secretary).
For information on this type of documentation, see GAM PHS Chapter 8-101-20.
8-101-60 DOCUMENTATION FOR OELEGATIONS OF AUTHORITY WITHIN THE IHS
A. Administrative Authorities.
1. The Director, IHS, delegates all administrative authorities to the DHO.
a. The DHO delegates the authorities to the Associate Director,OAM, and to the Area Directors.,
b. The Associate Director, OAM, redelegates authorities to IHS Associate
Directors, if appropriate,
for further redelegation to other appropriate Headquarters levels.
c. The Area Directors redelegate their authorities to the Executive Officer,
if appropriate, for
redelegation to their Office Directors and/or Service Unit Directors.
B. Personnel Authorities.
a.
Personnel administrative authorities are legal and regulatory authorities
exercised by Servicing Personnel
Offices. These authorities include the appointment, promotion, demotion,
or separation of personnel;
classification of positions; .fixing of pay, or authorization of training
b.
Personnel administrative authorities for IHS Headquarters East staff are
de:legated to the Director,:DPM,
OAM, IHS, by the Associate Director, OAM.
c.
Personnel administrative authorities for the personnel staffs within the
Area Offices are delegated by
ASPER to the Regional Personnel Officers, who redelegates directly to the
Area Directors.
d.
Personnel management.authorities are authorities exercised by line managers,
such as the selection
of personnel, acceptable level of competence determination, employee
appraisal, quality increases,
performance awards, adverse actions, leave, overtime, or approval of training.
e.
Personnel management authorities are delegated to the Associate Directors
by the Associate
Director, OAM, as the agency's Chief Administrative Officer, for further
redelegation,
as appropriate, to line managers.
f. Personnel management authorities are delegated to the Area Directors by the DHO.
C. Documentation Requirements for Administrative Delegations of Authority.
1.
An enabling document establishes the need for an IHS delegation of an administrative
authority.
An Administrative Delegation of Authority is received in the MIdCB from
the PHS. See IHS Exhibit
8-101-C.
2.
A draft delegation of authority is developed by the MIDCB and the appropriate
organization and function
(O&F) staff. The final delegation of authority contains the following
information:
a. Authority(ies) delegated and to whom;
b. By whom the delegation is made;
c. Authority to redelegate;
d. Restrictions and limitations;
e. Information and guidance;
f. Any supersessiojns amendments, or cancellations of previous
delegations; and
g. Effective date of delegation.
See IHS Exhibit 8-101-D.
3. A transmittal memorandu&is prepared by MIOCB to transfer the signed
delegation of authority to
the officials receiving the authority. See IHS Exhibit 8-101-E. .,
4.
A transmittal notice is prepared by MIOCB to transmit the delegation of
authority to. all appropriate
IHS officials for filing. See IHS Exhibit 8-101-F.
5. The IHS Exhibit 8-101-G provides an example of the IHS Headquarters Delegations of Authority Format.
6. The IHS Exhibit 8-101-H provides an example of the IHS Area Delegations of Authority Format.
8-101-70 PROCESSING OOCUMENTS
A. Review Process
1. Clearance with OGC. It is the responsibility of MIOCB to obtain
clearance from OGC, as appropriate,
on the delegation instruments to be signed by the Director or the DHO.
This clearance will be indicated
on the yellow file box copies of the delegation instruments.
2. Clearance with the PHS or Appropriate IHS Office. It is the responsibility
of MIDCB to obtain clearance
from PHS or the IHS offices receiving portions of the authority or that
are otherwise involved. Such
clearance may be indicated by either a sign-off on the yellow file
box copy of the transmittal
memorandum or, if more expeditious, by the clearing office writing a note
of concurrence, which must
then be included in the package.
.
3. MIDCB Review. The MIOCB reviews the package for accuracy and
completeness and obtains necessary
clearances, including clearance from the Associate Director, OAM, and the
Director, IHS.
B. Copy Requirements
The copy requirements for a delegation package containing a delegation
from the Secretary to the ASH
are the same as those contained in the HHS Communications Style Guidelines
for other correspondence;:
C. Distribution and Depository
The Chief, MIDCB, as the Agency DDCO, maintains the legal depository for
IHS delegations of authority.
Therefore, MIDCB retains the original,signed delegation of authority
and furnishes a copy to each
addressee.
8-101-80 ACTIONS BY THE DELEGATING OFFICIAL
A.
The delegating official, upon signature, is to return the original delegation
(including the file copies) to the
appropriate DDCO for distribution and maintenance of the complete official
file.
1. The Agency DDCO will, for the Director and the Office of the Director:
a. notify all the delegates of the delegation;
b. prepare the printing inquisition for administrative and financial
delegations in order for them to
be published in the manual system;
c. maintain the official files for all delegations that require the
Director's, ASH's, or the Secretary's
approval These files will include the signed copy and a yellow-box
copy reflecting the clearances
2. The Area/Headquarters DDCOs will, for their respective areas of authority:
a. notify all delegates of the delegation;
b. maintain the official files for all delegations pertaining to their
organizations. These files will include
the signed copy and a yellow-box copy reflecting the clearances; and
c. send a copy of all program redelegations within their organization to the MIDCB.
8-101-90
PUBLICATION OF DELEGATIONS
A. Delegations Affecting the Public
Whenever an IHS official makes a delegation or redelegation of authority
that may have a significant
impact on the public, the appropriate DDCO will assist the delegating official
in preparing a Federal
Register notice for the signature of the Director, IHS. (It should be noted
that all program
delegations prepared for the signature of the Director, IHS, will have
a Federal Register notice
attached for the Director to sign, as a part of the delegation package.)
B. Issuing Delegations of Program Authorities
Reserved
C. Issuing Delegations of Administrative and Financial Authorities
All administrative and financial management authorities signed by the Director,
IHS, will be published
in the Delegations of Authority Binders with an index of all delegations
of authority located in the
Indian Health Manual, Part 1, Chapter 5.
8-101-100 TECHNICAL ASSISTANCE
Technical
assistance on delegating authorities and applying the provisions of this
chapter may be
obtained
from the MIDCB staff.